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File Checker - National Firm

Location: WOLVERHAMPTON, WEST MIDLANDS Salary: Salary Negotiable
Sector: Insurance Job Type: Contract
Shift Type: N/A Applications: N/A
Posted: 9 months ago Reference: 3109061
Based in the countryside area of Staffordshire, near the M6 corridor, my client are a national firm who offer out-sourced compliance services to various authorised firms across the UK. They typically work with IFAs, Wealth Management firms and any other relevant companies that carry out regulated activity, whether that be Independent or restricted, that seek expert advice and direction with regards to their Compliance.

Reporting to the firms’ Compliance Manager, your key responsibilities will be:

To Compliance check and record adviser files to network standards within the agreed service standards using related computer processes. To provide research support and compliance information to Field Compliance on a regular basis. To report any adviser trends or issues to Compliance for investigation and provide support as necessary. To support AR firm principles, technical administrators and advisers to ensure files are to network standards.

• To follow established file checking processes to network standards.
• To maintain records for the recording of file checks.
• Provide file check reports with clear understandable outcomes and actions.
• To review remedial work and action to ensure files are to network standards
• To identify adviser Trends

Experience required:

• Hold appropriate qualifications ( Level 4 Diploma minimum )

• Computer Skills – knowledge of word, Excel, Group packages
• Knowledge of regulatory requirements.
• To maintain knowledge by attending relevant provider/internal testing and training seminars.

• Good communication skills, both written and verbal.
• Computer literacy
• Ability to prioritise
• Accurate record keeping
• Team player
• Ability to work on own initiative.
• Ability to meet deadlines

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