Business Assessor (Compliance) - Leeds
Basic to £22,000
Our client is an extremely busy Head Office to a national firm of independent financial advisers based in Leeds city centreoffering a comprehensive range of services to people and businesses throughout the UK.
They are looking for someone who will be able to:
Conduct file reviews on all cases.
Reporting findings to the Compliance Manager and suggest remedial action.
Preparing feedback reports.
Deal with Adviser telephone queries.
Ensure complete and accurate records of monitoring activity are maintained
As part of a small compliance team undertake other compliance duties and project work as required.
Experience of working in financial services.
A good understanding/working knowledge of the FSA Handbook
The ability to prioritise own workload, be self-motivated, organised and disciplined. Able to work as part of a team, but also be comfortable working in isolation, as necessary.
Strong interpersonal and communication skills at all levels
Excellent IT skills, in particular Word, Excel and Outlook.
Must have the Certificate in Financial Planning or equivalent and be willing to work towards the Diploma in Regulated Financial Planning.