Overview
To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution.
Key Responsibilities:
- Review pre-and-post advice files in line with the firms’ T&C scheme
- Provide technical and regulatory support to advise teams where appropriate.
- Maintain awareness of the regulatory environment which may have an impact on the business.
- Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.
- Complete file checking feedback documents
- Ensure file checking data is collated and kept up to date
- Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)- (approaching DipPFS may be considered)
- Working knowledge of FCA Principles and Rules.
- Good understanding of the Financial Planning process.
- Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry
