Compliance File Checker

The Role 

Talent84 is delighted to once again be supporting our award-winning fintech client with their search for a Compliance File Checker to join their busy compliance department team. This is an exciting opportunity for an enthusiastic professional to join one of the UK’s leading wealth management companies and play a key role. The successful candidate with hold the Level 4 Diploma in Regulated Financial Advice or at least be working towards this qualification.

Responsibilities

• Manage the end-to-end review of client files to a high standard in a precise, efficient manner
• Ensure processes are consistent with internal and industry standards
• Proactively remain up to date with industry regulations
• Serve as the main point of contact for compliance related queries, addressing any questions or concerns
• Provide regular updates and reports to management on the status of reviews
• Providing insight and support on the regulated advice process staying up to date with industry standards

Requirements

• Ideally hold Level 4 in Regulated Financial Advice, partially qualified considered if working towards obtaining full diploma
• Have a robust understanding and knowledge of investment products and taxation
• Demonstrable experience in Financial Services, particularly with a regulated advice environment
• A genuine desire to progress their career in financial services
• Have excellent communication skills