Financial Services Audit Administrator

Recruiter
Adecco
Location
England, Lancashire, Preston
Salary
£17000 - £18000 per annum + excellent benefits
Posted
18 Apr 2018
Closes
16 May 2018
Ref
jcbuad
Contact
Julie Cameron
Function
Administration
Contract Type
Permanent
Hours
Full Time
Financial Services Administrator
Preston
upto £18k
To contribute to the direction and implementation of the Quality of Advice Standards and ensure that all our customers are treated fairly.
To accurately carry out Client File Assessments to the required standards.
To provide direct support, guidance and advice to the business on Quality of Advice matters.
Ensuring that appropriate advice including the associated documentation is provided by all financial sales advisers.

Providing support to the sles Supervisors and Advisers on Regulatory standards of advice and documentation and in keeping with our Treating Customers Fairly culture.


Principal Accountabilities


*To contribute to the direction and implementation of the Quality of Advice Standards and ensure that all our customers are treated fairly.

*To accurately carry out Client File Assessments to the required standards.

*To provide direct support, guidance and advice to the business on Quality of Advice matters.

*To build effective, supportive relationships with the Sales Supervisors and Advisers in order to establish and maintain the appropriate Quality of Advice standards.

*Fact finds will need to be checked and audited while maintenance of client files is essential.

*To make sure that the advisors within the company are compliant and in line with FSA working regulations

*To assist with the implementation of compliance regulations and help educate the business

Person Specification


Experience

*To have previous experience within the Financial Services industry, preferably from a regulatory perspective.

*Previous experience of quality checking is desirable.

*Good understanding of FSA regulations and the impact of regulatory risk.



Adecco is acting as an Employment Agency in relation to this vacancy. The Adecco Group UK & Ireland is an Equal Opportunities Employer.

Similar jobs

Similar jobs