Contract Type: | Permanent |
Location: | London |
Industry: |
Financial Services
|
Salary: | £25000 - £35000 per annum |
Start Date: | ASAP |
REF: | GW1649_1489598714 |
Job Published: | over 5 years ago |
Overview:
- Review client files/application forms/suitability reviews to identify gaps and discrepancies
- Resolve discrepancies themselves or to guide the brokers on what they need to do to achieve compliance
- Contact clients and go through suitability assessments over the phone
- Keep abreast of system enhancements and compliance controls to ensure procedures are properly reflected across Duncan's client base
- Liaise with and assist the suitability unit and compliance in providing any required or documentation in support of monitoring
Experience:
Ideally previous experience of file reviewing/suitability/compliance monitoring.
General understanding of FCA regulations.
Can do attitude/strong communication skills

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