Compliance File Reviewer

Most Advice Quality and Compliance jobs seem to come with the same catch. You must already have experience. This one doesn''t. If you''ve got R01-R05 or equivalent, a strong pensions and investments background and the confidence to challenge advisers when something doesn''t look right, they''ll train you. And there''s proper evidence that people can build a career here. The Head of Compliance and Risk, Head of Advice Quality and Head of Advice all joined the business in more junior roles and became Heads of within 10 years. Not bad, huh? THE JOB You''ll join the Advice Quality team and focus mainly on pensions and investment cases. Most of the work is pre-sale file checking, reviewing adviser recommendations to make sure the advice is suitable, properly evidenced and meets the required standards. Where something needs changing, you''ll provide clear feedback to the adviser and explain what needs to be done. It isn''t just sitting behind a screen checking files all day either. You''ll speak directly with advisers, answer technical queries, discuss more unusual cases and help them understand what good advice and good evidence should look like. There are no individual daily file-checking targets. The team works to an overall 48-hour turnaround SLA. WHAT YOU''LL NEED R01-R05 or equivalent Good technical knowledge of pensions and investments Strong attention to detail Confidence speaking with advisers and challenging something when it doesn''t look right The ability to ..... full job details .....