Basic to £23,000 plus full benefits
An exciting opportunity has arisen in this Financial Services organisation to join the Compliance team; they are looking for individuals who have an enthusiastic, positive and flexible approach to work.
Whilst there is the need to complete core business checking tasks the role will also provide the opportunity to work on diverse projects within the Compliance team and business as a whole.
Main duties will be as follows:
Assess business files, post-sale, in accordance with the internal business standards.
Provide appropriate feedback to advisers.
Use technology to log and administer file review feedback.
Assess and approve files that require pre-sale approval.
Demonstrate and apply understanding of internal business standards, product knowledge and wider regulatory and risk issues.
Answer general Compliance, financial planning, technical, product and T&C related queries.
Participate in the drafting, review and updating of internal documentation including business standards and Suitability Reports.
Strong organisation skills
Ability to work on multiple tasks and projects and effectively manage own workload
Desire to learn and develop wide ranging expertise and knowledge
Excellent written and verbal communication skills
Able to take initiative and be proactive in helping to drive the business forward
Comfortable working to demanding targets and deadlines
Appropriate Financial Services qualifications
This is only one of many vacancies we are handling. Advance Search & Selection Ltd is a specialist within Financial Services and Pensions recruitment. Areas of expertise include IFA, Advisors, Employee Benefits, Compliance, Pensions, Group Risk, Paraplanners, Sales Support, T&C etc.