File Checker – Financial Services
c28k - 30k
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- Monitoring the advice given by a team of wealth planners.
- Ensure Investment reports and suitability letters are in line with company and FCA standards.
- Assessing and grading quality of files and providing effective and concise feedback
- Identifying any inconsistencies/errors and escalate them accordingly to the right individual.
- Reviewing quality of files across pensions, investments, mortgages and protection.
- Work closely with members of the compliance team, FCA and wealth planners and provide support where required.
- Provide support to the Head of Advice Delivery to improve processes within the department.