IFA Business Assessor/ Quality Analyst - Tyne and Wear, salary to GBP35

United Kingdom
25000.00 - 35000.00 GBP Annual + GBP25000 - GBP35000/annum
03 Feb 2017
19 Feb 2017
Contract Type
Full Time
Morris Jones Consulting Ref:

Job Title:
Compliance Assessor/ File Checker - North East

GBP25,000 - GBP35,000
Salary depends on experience, qualification and performance at interview.

An opportunity has arisen for an experienced Compliance Assessor/ File Checker to join a leading financial services provider in the North East.

Main Duties:
Working in a busy office, you will liaise closely with IFA Consultants and the wider compliance team to ensure that appropriate advice is given to customers in line with FCA and TCF regulations, clients' needs and attitude to risk.

The successful incumbent will demonstrate a keen eye for detail by closely checking fact find information, suitability reports and documentation relating to each case, some prior to submission, some at review for existing clients.
Portfolios will include the following, so knowledge and experience in these fields would be preferred: Occupational Pensions (and transfers), Personal pensions, Occupational Pension switches, Off shore Bonds, NISAs and Corporate Protection amongst other products.

You will flag up any errors and missing data as well as concerns you have with the suitability of advice given. You will also highlight to the advisers any issues and provide constructive feedback where extra training is required or where the appropriate documentation is missing. The role will include accurate and timely input of client details onto in house systems to ensure speedy completion of cases.
The role also requires excellent communication skills, a keen eye for detail and a professional confidence when liaising with advisers.

This is a permanent full time role paying a salary of between GBP25,000 and GBP35,000 depending on experience, level of qualification and performance at interview.

Key Skills:
Applications will only be considered from individuals who possess working knowledge of the financial services industry and who come from a compliance or file checking background. Applicants must have a keen eye for detail and enjoy being in a back office file checking role with ideally Diploma level 4, if not a few papers off. Experience checking suitability reports will put applicants at a distinct advantage. Applicants will have a good standard of education with minimal job hops.

Compliance Assessor/ File Checker role to work for a reputable IFA practice in the North East.

Jenny Brophy
Financial Services Specialist
Morris Jones Consulting

To apply, send your CV to jenny . . co . uk .

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