I am currently recruiting on behalf of a Wealth Planning Financial Firm with Multiple Offices company who are seeking a FINANCIAL SERVICES COMPLIANCE ANALYST AT FILE REVIEWING. The role is for someone with a background of assessing the suitability of advice/suitability reports with experience of file reviews for both pre and post–advice linked to the client banks.

You will be checking files from multiple Investment Managers and Financial Planners from different offices – therefore, someone who is comfortable with working in a busy environment would be well suited to this. IT DOES HOWEVER OFFER FULL REMOTE HOME BASED OR OFFICE BASED HENLEY, OXFORDSHIRE.

Key Responsibilities:–

. Review pre and post advice files, ensuring files are reviewed in line with the T&C Scheme and appropriate levels of supervision. Be required to produce consistently high quality, thorough and technically accurate client file checks Prepare MI on file checks undertaken, identifying trends and potential areas of risk / non–compliance Provide constructive feedback and support to the advice team.

CORE SKILLS:–

. Experience of pre and post sales file review Have knowledge of most business types including high risk areas such as, Pension Switches, Venture Capital Trusts, Enterprise Investment Schemes and Business Relief advice.

QUALIFICATIONS REQUIRED FOR THE ROLE:–

. Minimum Level 4 Diploma in Financial Planning or equivalent CISI Level 4 Investment Advice Diploma/LSE.

The Role will begin at either a 3 OR 6 MONTHS CONTRACT OR IF PREFERRED UP TO 1 YEAR WITHIN THE ROLE IF YOU ARE NOT ABLE TO DO A SHORT CONTRACT. The role also allows 100% home based or close to the company within a hybrid role.

To be considered you must be hugely strong in assessing the documents and follow ups from the Paraplanners and Advisors in terms of DOCUMENT FOLLOW UP.

Great opportunity!