£35000 - £40000 per annum, Benefits: Pension & Benefits Package
0113 274 3000
11 months ago
If so, this may well be the opportunity for you, as a highly progressive National IFA business is looking to add further Quality Assurance Consultants to its established Compliance function on a national basis.
Your core duties and responsibilities would be as follows:
· Working as a key team member of the Compliance Department supporting Advisers and Paraplanners with quality standards and file reviews - both pre and post sale
· Feeding back to Advisers on a regular basis in a constructive, timely and professional manner
· Identifying trends and proposing remedial actions with documented follow ups for review
· Conducting root cause analysis, recording relevant MI and escalating any issues to relevant stakeholders
· Working in conjunction with the wider Compliance department to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements
You will ideally have the following skills and experience:
· Demonstrable track record of providing business quality assessment and file reviews for advisers
· QCF Level 4 as a minimum, any progression towards chartered status would be advantageous, but is not essential, the desire to attain level 6 is preferred
· AF3/G60 would be of particular interest though is not essential
· Current and thorough knowledge of the UK’s regulatory requirements within an advisory setting
· Detailed and technical understanding of platforms and products across both investment and non-investment
· Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
· Competent with back office systems and the Microsoft suite of products e.g. Word & Excel
You will enjoy a competitive basic salary and benefits package including Group Pension, DIS, Share Option Scheme and the opportunity to progress you career and professional competence by way of funded study support.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to email@example.com.