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Compliance – Case Reviewer

Job Reference: 16416320

Employer/Agency Name: PSD Manchester

Location: Cheshire

Job Sector: Accountancy, Banking, Finance

Salary/Package: £40k-£45k

Date Posted: 06/04/2018

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A Cheshire based market leading IFA organisation with a strong compliance culture who are enjoying a sustained period of growth.

Responsibilities:
• Check Advisers’ client files of Protection, Mortgage, Savings, Investment, Personal Pension and General Insurance business sales against Regulatory and Company standards in respect of documentation and suitability of advice, ensuring they are reviewed thoroughly, fairly, consistently and promptly
• Identify risk issues on cases reviewed and recommend corrective actions, applying the principles of Treating Customers Fairly
• Prepare feedback reports to Advisers / T&C Supervisors highlighting development needs and action points and requesting further information and correct action as necessary
• Record all appropriate information on the Company back office systems as required in line with case review standards.
• Manage own case load to ensure all outstanding action / information is followed up, completed and resolved appropriately and within Company timescales, liaising with Advisers / T&C Supervisors as required
• Highlight any Breaches, inconsistencies or trends identified to the appropriate Monitoring Manager
• Deal with telephone queries from Advisers / T&C Supervisors building positive relationships, promoting the role of the DBM and negotiating mutually acceptable solutions to potential conflicts arising
• Ensure up to date knowledge is maintained and applied in respect of departmental policies, procedures and standards, and actively contribute to their development.
• Carry out additional reviews to assist with Appeals, Complaints and Investigations when required

Knowledge Requirements:

• FCA/Regulatory knowledge
• Commercial/organisation awareness
• Industry knowledge
• Product knowledge
• Compliance Knowledge
• Case review experience

Essential Qualifications:-
Qualified to Diploma Level
CeMAP or Maq (CF6)

Salary to £40,000

Contact Mike Kelly, Senior Consultant

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