Join us as a Investment File Reviewer
- You’ll be joining us in a varied controls environment, supporting the effective monitoring and reporting of Quality Assurance risks
- We’ll look to you to work as part of a team to independently test the suitability of advice given to clients concerning investment products and services
- It’s an opportunity to engage with front line businesses and work collaboratively to help improve our business standards and ultimately our customer journeys
What you'll do
As an Investment File Reviewer , you’ll undertake file checks on front line advice to ensure qualitative standards across investment, protection, pension and retirement, providing feedback on file quality, and setting appropriate remedial activity when necessary. We’ll look to you to work at pace to undertake checks of multiple file types, including core files, auto advice, investment backed lending and portfolio suitability reviews.
Throughout the course of your work, you’ll work towards becoming an expert of the Suitable Advice Guidelines (SAG) and Quality Assurance & Competence Framework, with the chance to develop your own competencies and broaden your areas of expertise and abilities.
In addition, you’ll:
- Support with the management of upstream regulatory or legislative developments
- Maintain and monitor adherence to all relevant procedures and service level agreements between the first line of defence and services, escalating non-adherence
- Help support the team in reviewing and enhancing our banking processes and policies to ensure compliance is achieved
- Develop and maintain effective working relationships with key internal and external stakeholders to promote cross functional working and deliver the strategy
The skills you'll need
To be successful in this role, you’ll need an understanding of relevant regulatory requirements and how these apply to our products and services. If you have experience of checking files, this would be an advantage, but what’s essential is that you bring a keen eye for detail and the ability to work methodically and accurately.
In addition, we’ll expect you to hold a minimum of a QCF Level 4 qualification which could include CISI Diploma or PCIAM, CISI Investment Advice Diploma or CII Diploma in Financial Planning or equivalent.
You’ll also demonstrate:
- The ability to analyse and evaluate information and articulate and disseminate to front line colleagues
- Experience of working as part of a team
- The ability to work well under pressure and deliver high qualitative outputs