Business Quality Assessor/ Compliance Officer

☞ Tempest Jones

View: 107

Update day: 11-06-2024

Location: Newcastle-under-Lyme West Midlands Newcastle upon Tyne North East

Category: Finance / Bank / Stock

Industry: Financial Services

Job type: Permanent, full-time

Salary: £30,000 - £40,000 p.a, negotiable

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Job description

Business Quality Assessor

Location - Office or Home based; however, the candidate must be happy to travel to the closest office once a fortnight for meetings. (There are offices throughout Yorkshire, the Northeast and Northwest, there are no office in the South of England)

This role is to work for an award-winning employer, a highly professional practice of Financial Planners who give advice on a wide range of concerns including retirement planning, accessing funds at retirement, investment management and protection.

They give the utmost encouragement and support with staff development. A competitive salary will be on offer along with an exceptional benefits package.

The Role

The overall purpose of this role is to perform file reviews in order to ensure that Financial Planning advice standards are upheld. The role will involve providing constructive feedback to a team of exceptional Financial Planners located across the UK to assist with their ability to produce files which comply with firm standards.

The main elements of this role will include:

  • Completing file review activity as defined by the T&C Scheme
  • Carrying out file checks to ensure suitability / records meet firm standards
  • Providing file review feedback effectively in a constructive manner
  • Maintaining and developing stakeholder relationships
  • Maintaining accurate file review records
  • Providing management information to the senior leadership team
  • Having a proactive involvement in the development of business standards

The Candidate

  • In order to fulfil the role, candidates will need to:
  • Have successfully completed the Level 4 Diploma in Financial Planning (mandatory)
  • Ideally be working towards Chartered, however this is not essential
  • Understand and have knowledge of Business Standards and Code of Conduct.
  • Have a minimum of 2 years’ experience in a file checking role
  • Have excellent customer service skills and demonstrate this with all colleagues within the firm as well as existing and prospective clients
  • Be confident when using IT systems and demonstrate efficient IT skills, particularly in relation to compiling reports

PLEASE NOTE: The top end of the salary banding will be available to highly qualified and experienced candidates.

For further information or to be considered for this role, please send your CV to jenny @ tempestjones . co . uk

Compliance, T&C, File Checker, File reviewer, Quality assessor, IFA, Financial Planning, Wealth management, Financial Advice, financial adviser. financial advisor, financial planner

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Deadline: 26-07-2024

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