My Client is currently looking Compliance and Risk Officer to join their financial planning business in Manchester.
The successful candidate will be responsible for business quality reviews. Part of this involves providing feedback to advisers and senior management on the risk identified, together with the actions necessary to manage or mitigate the risks
* To carry out client file reviews to determine whether the suitability of advice against business standards and regulatory requirements and identify material risks.
* Assess the quality of advice and adherence to business standards and regulatory requirements and identify material risks to clients and the business.
* Provide feedback to advisers and sales management on the risk identified, together with the actions necessary to manage or mitigate the risks
* Assist in training of new advisers and Paraplanners and remedial training of advisers where required.
* To ensure that all reviews are completed in a fair and consistency manor in line with the defined standards for business quality assessments.
* To record and maintain appropriate records for all files or transactions reviewed that will be sufficiently robust for both internal and external audit purposes.
THE SUCCESSFUL CANDIDATE
* Diploma in Financial Planning / Level 4 Qualified (or progress towards) with emphasis on the exams relating to personal financial planning
* Experience in a regulated IFA environment.
* An excellent team player with an adaptable and flexible approach to work
* Resourceful and be able to take initiative with changing priorities
* Ability to extract and identify issues of potential risk
The company offers an attractive salary together with 9 to 5 hours, 25 days Holiday, Pension, 4 x DIS and a Flexible Benefits package.
For more information please contact Graeme Hyland on 07896 933622 or email firstname.lastname@example.org
Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.