Financial Services Compliance Vacancies: New Business Assessors, Swindon

Financial Services Compliance Vacancies:  New Business Assessors, Swindon.

Our Client is well recognised within the financial services profession and operates within the IFA Market. They are now looking to add to their already busy Compliance Team and keen to meet with experienced Compliance Professionals in the Swindon area.

SALARY IS DEPENDENT UPON QUALIFICATIONS & EXPERIENCE

Purpose of the Role:

To assess All New Business Written by the Our Clients Members and checking it against the Compliance Requirements of the Group and applying an holistic evaluation approach when evaluating the suitability of advice,  in line with COBS, MCOB and ICOBS regulations, TCF principles and The Groups  "Outcome Based" principles.

Key Activities:

* To review the client files within the agreed criteria to the appropriate standard and subject to a minimum error rate.

* To assess the client files within the agreed criteria and record the results of the evaluation appropriately.

* To achieve the agreed number of advice checks per day.

* To be a positive role model, committed to embedding the Outcome Based Principles.

* To provide customer service to advisers and supervisors within the agreed criteria and to an agreed timescale.

Skills, Experience & Qualifications Required:

* Minimum FPC (or equivilant)

* Ideally has area specific Qualifications to a Diploma level.  If working towards the Diploma you will be able to achieve this by 1st January 2013

* Previous business assessment experience

* Will be expected to pass the firm specific Data Protection and Financial Crime Tests

* Excellent product knowledge essential

* Knowledge of procedures and services and technical standards expected of Our Clients Advisers

* Knowledge of FSA legislation particularly TCF and Data Protection

* Good market, risk and business awareness

There is also an Excellent Bonus and Benefits Package Available.

To apply for this role please click here.