Business Assurance Adviser/ File Checker – Bristol
Salary
35k + benefits
Location
Bristol
Job Type
Full Time|Work From Home
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Our client is one of the Largest Leading Wealth management companies in the UK who specialise in delivering face-to-face financial advice to private and corporate clients. They are looking for a new member to join their Compliance team on a full time basis in their Bristol Office. The main purpose of this role is to compliance check a range of business submitted by the Partnership. Providing feedback to the field management Team, Business Risk Team and Partners on changes required to cases.
Key Responsibilities:
- To review files as detailed above
- Provide technical support to the Partnership in relation to the correct documentation for all case type
- Advise internal teams of any issues raised from file checking to enable feedback to the Partner
- To act as a point of contact for enquiries from the Partnership, including providing technical support through the Helpline when required
- Deliver projects as required
- Attend regular meetings where necessary to ensure a consistent approach on all areas of Support reviewing and discuss areas where improvements/changes can be made
- Ensure that an acceptable and consistent level of service standards are maintained
- To assist with training of new members of team where necessary
- Continue Professional Development by way of external exams, internal training, home study
- Point of Contact for relationships – Deal with special cases where “care” required with particular Partners/Clients.
- Being responsible for ensuring the output of work is in line with firms values and principles of treating clients fairly (being both internal and external clients).
- Escalating any cases which you do not believe to be in line with the company’s values.