Compliance Supervisor (File Reviewer/Checker) |
0121 616 5066

Compliance Supervisor (File Reviewer/Checker)

Location: Horsham, England

Salary: £32000 - £32500 per annum

Job Type: Permanent

Job Ref. Number: compliance reviewer

My client has an exciting opportunity for an organised and attentive Compliance Supervisor (File Reviewer/Checker) to join their growing and well regarded team in Horsham.

Key Skills: Compliance Supervisor, file reviewer, file checker, fca, regulatory standards,

Location: Horsham, West Sussex, RH12 1RB

Salary: Upto £32,500 + superb benefits

Main duties of this position will include:

* Monitoring the advice given by the network’s advisers.

* Ensure Investment reports and suitability letters are in line with company and FCA standards.
* Assessing and grading quality of files and providing effective and concise feedback
* Identifying any inconsistencies/errors and escalate them accordingly to the right individual.
* Reviewing quality of files predominately across pensions and investments.
* Work closely with members of the compliance team, FCA and provide support where required.
* Provide support to the Head of Regulatory Standards to improve processes within the department.
* Other ad hoc duties as required.

As Compliance Supervisor (File Reviewer/Checker) you will have 12 months industry experience of investment and pension files checking and ideally hold the level 4 qualification in Financial Planning or be studying towards that.

You will be decisive and confident to make essential decisions with the ability to influence at all levels.

It is essential that you have good communication skills across all areas, are self-motivated, proactive, logical, analytical and have a good work and team ethos.

Please click “apply now” for more details.


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