Compliance Assistant/File Checker
Salary
Circa 30,000
Location
Plymouth
Job Type
Full Time|Work From Home
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Job Title: Compliance Assistant/ File Checker
Industry: Financial services
Location: Plymouth – Home Based
Salary: Circa £30,000
Job Description:
We are working with a financial planning firm who provide guidance individuals and businesses alike. A completely independent firm who are looking to take on a compliance assistant. Your main responsibility will be to review client files. However other duties will include:
- Provide technical support to the Advisers 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 including providing technical support to other employees
- 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 acceptable and consistent level of service standards are maintained
- To assist with training of new members of the team where necessary
- Continue Professional Development by way of external exams, internal training, home study
- Being responsible for ensuring the output of work is in line with our values and principles of treating our clients fairly (being both our internal (Partner) clients and external clients). Escalating any cases which you do not believe to be in line with the company’s values.
- Home-based working
- Continued support with qualifications
- Career development
- Start every journey with a conversation to find out about you in depth.
- Provide honest feedback on where you fit in the jobs market.
- Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you.
- Take a holistic mindfulness approach – career happiness is rarely just about the money.
- Cover the whole of the UK with a local touch through our regional teams.
- Never pester you.