Bluestones One are seeking a File Checker on behalf of their Client, a leading Financial Services firm with offices in Ellesmere Port.

The role will include;

·         Reviewing advice, in particular (but not exclusively) on pension transfers and other pensions with safeguarded benefits;

o   Accurately asses the suitability of advice

o   Assess the accuracy and adequacy of the file documentation, ensuring it is completed in line with the firm’s requirements

o   Assessing and grading cases

o   Providing clear, accurate and constructive feedback to the Advisor

o   Discussing cases with Advisors/Compliance colleagues

o   Ensuring completion by the Advisor of any remedial action by the Advisor within acceptable timeframes

o   Identifying any inconsistencies/errors and escalate them accordingly to Compliance Manager

o   Complete all file checks within specified timeframes

o   Documenting outcomes and providing management information to the Compliance Manager

·         Working closely with the Compliance Team and provide support where required

·         Maintaining knowledge of the compliance procedures and relevant Regulatory Rules

·         Maintaining the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the business

·         Ability to identify and report potential cases of financial crime

·         To maintain records to the standards necessary to demonstrate Advisor and departmental performance

·         Other ad hoc duties as required

The ideal Candidate will have previous experience of checking files within financial services, ideally with an IFA or wealth management background.

This is an exciting opportunity to become part of a team that reward hard work and dedication with progression and development.

Working hours are Monday to Friday 9am – 5pm, offering a salary of up to £30,000 pa.


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