Our client is proud to provide only bespoke, high quality independent financial advice to personal and corporate clients. They offer a full range of financial services covering all retirement planning, investment, mortgage, and insurance needs.
They are keen to employ an experienced Suitability File Reviewer who could be based at their Cromer office. The successful applicant will be working alongside an established team.
The role will entail conducting advice suitability file reviews, ensuring risks are minimised, but retaining a commercial acumen to promote the continuing growth of the advisory business.
The duties will include:
File checks and focused file audits
Providing practical interpretation and application of company and regulatory policy to resolve issues
Assisting in evaluating employee performance and identifying training needs
Building effective supportive relationships with key stakeholders to develop the company and regulatory structure
Promoting a positive “best practice” and with it an excellent compliance structure.
It is essential that you have an/a
Excellent knowledge of the UK Financial Services Regulatory Framework
Excellent product knowledge of Pensions, Investments, Mortgages and Protection
Understanding of key risk areas for advice in relation to the above products
Demonstrable experience of reviewing advice suitability files based on both regulatory and internal guidance sources
Experience of making sound decisions when concluding file checks and ability to communicate feedback in a structured, constructive manner
Substantial experience in a similar role within a regulated Financial Services environment.
Working knowledge of all FCA sourcebooks
It is also desirable if you have experience of working with the regulators (for example, Financial Ombudsman Service, FCA), Pension Transfers and Opt-out working knowledge and a working knowledge of UK GDPR requirements.
Finally, the ideal candidate will be working towards their Level 4 Diploma in Financial Services and have the Cemap or equivalent qualification.
On offer is an excellent basic salary to £35,000 plus bonus and benefits.
For more information, please contact Spencer Hilsum directly on 01787 207840 or email your CV as below.
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