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File Checker

Location
Leeds, Yorkshire
Remote Working
Remote Working
Salary
£24,000 to £28,000
Job Type
Permanent
Posted
7 Sep 2022

The Company: A uniquely structured IFA firm based in Central Leeds who are currently looking for a File Checker to review pre-sale advice. In support of their technical support team and adviser-base you will be joining an expanding firm who model themselves on providing professional, independent, whole of market financial advice with high quality service and support to all clientele.

The Role: To assess the suitability of advice provided by the group's Financial Advisers. This will cover all product lines such as Investments, Pensions, Protection, Mortgages and General Insurance and will ensure that the advice provided to the customer is correct and any errors can be identified and acted upon, ensuring suitable customer outcomes.

  • Assessing new business submissions in accordance with the firms' Business Standards
  • Providing appropriate feedback to individual advisers
  • Demonstrating and applying understanding of internal Business Standards
  • Proactively identifying trends and feeding continuous improvement
  • Identifying and building relationships with key contacts (both internally and externally) and providing advice and guidance as required
  • Promotion of teamwork within the Business Assessment Team

This is a full-time internal compliance role with the flexibility to work from home 3/4 days a week, checking in to the office once a week as required.

The Person: Will come from a wealth management and ideally hold at least 2 years' experience within a financial services organisation; being either QCF level 4 Diploma qualified or progressing towards this quite quickly. Exposure to the COBS, ICOB and MCOB product and sales process would be preferred but isn't essential, as well as FCA and regulatory knowledge and experience. The role would also suit someone coming from a technical/paraplanning background who has maybe 6+ months experience of suitability report compilation and is keen on migrating into a more file review/compliance orientated role.

What next? Please send CV applications to Chris at CB3 Associates Ltd and they will be reviewed inside 24 hours. And for further opportunities we are working on within the financial services sector please visit the website below:

Website:

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Details

  • Job Reference: 706415712-2
  • Date Posted: 7 September 2022
  • Recruiter: CB3 Associates Ltd
    CB3 Associates Ltd
  • Location: Leeds, Yorkshire
  • Remote Working: Some remote working possible
  • Salary: £24,000 to £28,000
  • Sector: Manufacturing Operations
  • Job Type: Permanent