The opportunity for a diploma qualified file checker to join a reputable IFA firm in Leicestershire who provide exemplary advice to their clients.
Our client is looking for an experienced compliance professional with file review experience to join the team. You will be working directly with the companies advisers to ensure all queries are concisely responded to. The day to day duties will include file reviewing, reporting to senior management and general internal compliance monitoring.
What’s needed for me to be considered?
In order to be considered, candidates ideally need to have;
- Experience in compliance monitoring with experience either within an IFA informing advisers on regulatory change and setting processes or external compliance monitoring/advising
- Level 4 Qualified – ideally Level 6
- Robust knowledge of FCA regulations
Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements.
Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career.
Job Synonyms: Compliance monitoring, IFA, Compliance, Monitoring, consultancy