Job Description
You will be responsible for reviewing an appropriate number of pre and post advice files in line with the firms’ training and competence scheme and provide constructive feedback to the advice teams. This role is ideal for someone who has previously worked in a similar role and has experience working with financial services.
Key Responsibilities
- Review an appropriate number of pre- and post-advice files in line with the companies’ training and competence scheme and provide constructive feedback to the advice teams.
- Follow up missing information and remedial action from advice teams within agreed timescales.
- Identify key areas for development in the advice teams from file reviews and recommend training to address any knowledge and skills shortfalls to the T&C supervisors.
- Assist with complaint investigations and liaise with the Financial Ombudsman Service as and when required.
- Provide additional technical and regulatory support to advice teams where needed on the provision of advice.
- Maintain awareness of Regulatory developments which may have an impact on the business, and file quality.
- Administration & Reporting
- Undertake any projects relating to the role or Risk and Compliance Team as necessary.
- Comply with compliance procedures, TCF, Data Protection and FCA Regulations at all times to ensure regulatory requirements and company policies are not breached