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Business Quality Assessor (Compliance) - Leeds

Details
ReferenceVAC-510
SectorsAdministration, Bancassurance, Compliance, IFA/Independent Adviser, Other Financial Services, Paraplanner, Sales, Sales Support, Tied & Multi Sales, Wealth Manager
Salary£20,000 to £25,000 per annum
Town/CityLeeds
LocationsEast Yorkshire, South Yorkshire, UK, West Yorkshire, Yorkshire
Contract TypePermanent

Description


 Business Quality Assessor (Compliance) - Leeds



 Our client is an extremely busy financial services office based in Leeds city centre offering 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.



 Prepare 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.

 Strong interpersonal and communication skills at all levels

 Excellent IT skills, in particular Word, Excel and Outlook.

 

 Qualifications

 Must have the FPC (or equivalent).


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