Compliance File Checkers

Compliance File Checkers / Reviewers, Nottingham

Salary c£24,000 + benefits

My client is a very well established and also expanding IFA, and they are now looking for 2 permanent Compliance File Reviewers to join their team in Nottingham.

The company deals with both private and corporate clients, offering full financial planning and wealth management.

The person:

You will need to have previous experience within a compliance role in an IFA organisaiton

You will be at least fully FPC qualified or equivalent, and be keen to become Diploma qualified

You will have a thorough understanding of FSA rules, regulations and guidelines

You will have excellent communication / interpersonal skills

The role:

You will be responsible for checking that all business proposed by the Consultants fully meets both company and FSA guidelines

Liaise with Consultants when cases need further attention

Offer consultative solutions where needed

If you have the relevant previous experience within an IFA environment, then please apply below or contact Angela Liscombe at North Oak Recruitment for a confidential discussion.