Bluestones One are working with a prestigious independent financial advisory company and on their behalf we are recruiting for an experienced Compliance File Checker to join their expanding team. You will be reviewing advice in particular relating to pensions.
– Accurately assess the suitability of advice
– Assess the accuracy and adequacy of the file documentation
– Ensure all documentation is completed in line with company requirements
– Assessing and grading cases
– Providing clear, accurate and constructive feedback
– Discuss cases with advisors and compliance colleagues
– Identify inconsistencies and errors and escalate these to management
– Complete all file checks within agreed timescales
– Report and document outcomes and provide management with this information
The successful candidate will have proven previous experience in a similar role and you will continue to maintain knowledge of compliance procedures and relevant regulatory rules.
Previous experience is essential as you will have the knowledge and expertise to identify potential crime, which is crucial to the success of this role.
Working Monday to Friday 8.30am-5.30pm
Salary is £30k-£35k dependent on experience.