- 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 the brokers client base
- Liaise with and assist the suitability unit and compliance in providing any required or documentation in support of monitoring
Ideally previous experience of file reviewing/suitability/compliance monitoring.
General understanding of FCA regulations.
Can do attitude/strong communication skills