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NJR are currently representing a Firm of Independent Financial Planners who are based in Leicester area, and who now require an ambitious and talented Compliance Officer to join their dynamic and forever growing business. Our Client work out of a modern state of the art building and pride themselves on maintaining a family friendly culture.
A Compliance Officer / File Reviewer is required to check client files and the documents using for their back-office system against a file review checklist. You will also be required to check and record the accuracy of pre-sale and post-sale documents and that these have been created and saved in a timely manner in line with company procedures, as well confirming that anti-money-laundering requirements have been satisfied, and reporting findings to the Compliance Manager.
" Gather information from the back-office system to record findings and complete necessary paperwork.
" Using a checklist, make notes of the dates pre-sale and post-sale documents were created and ensure that they reflect the same facts, values, and fees, confirm that anti-money-laundering requirements have been satisfied, and report findings to the compliance team.
" Adhere to FCA and company guidelines to complete file checks to a high standard.
" Summarise findings to discuss at monthly Compliance T&C meeting.
" Feedback to the compliance team if areas not meeting standards are identified.
" Selection ofl files to be checked based on adviser's risk assessment and agreed level of supervision. File selection must include a mix of business type and particular focus should be given to potentially high-risk areas of business.
" Any findings of non-compliance or issues that could cause client detriment need to be reported to the Senior Compliance Manager and if remedial action is required this should be carried out promptly and appropriately.
" Preparing KPIs from back-office systems to support KPI requirements for T&C meetings. This includes creating reports and pulling management information together in preparation for advisers' one to one meetings with their supervisor and other T&C reviews.
" Other special projects of investigation and compliance support when required.
" Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
Candidates applying for the role will be fully Diploma Qualified, and have a background as a File Reviewer or a Paraplanner. This is an office based role and is an important part of the business. Are client is looking for someone who can integrate in to the team, and collaborate on a daily basis with the Paraplanner, Administrators and Advisers.
REF: NJR15272
