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Business Assessors - Leeds

Details
ReferenceVAC-0298
SectorsAdministration, Compliance, Paraplanner, Sales Support
Salary£18,000 to £22,000 per annum
BenefitsBasic to £22,000, benefits, bonuses
Town/CityLeeds
LocationsSouth Yorkshire, UK, West Yorkshire, Yorkshire
Contract TypePermanent

Description


 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.

 

 Requirements

 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.

 

 Qualifications

 Must have the Certificate in Financial Planning or equivalent and be willing to work towards the Diploma in Regulated Financial Planning.


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