Acquisitions File Review Officer
Perspective Financial Group Ltd / Group Regulatory & Compliance
Job Description
We have a fantastic vacancy for a Acquisitions File Review Officer to join Perspective. This is an integral and varied role and your experience in providing high quality support will be invaluable to the whole team.
Office: Perspective Financial Group Ltd
Location: Home Based
Hours: Monday – Friday 9am to 5pm with a one hour break (35 hours)
Salary: Competitive dependant on experience and qualifications. Available upon request.
Job Requirements
- To check the suitability of advice from target acquisition firms to a high standard in line with the Regulator’s expectations.
- To check Periodic Suitability Assessments in line with MIFID II requirements.
- To assist the due diligence team in understanding the target firm’s advice and client review process.
- To highlight key risks associated with a target firm’s advice process & potentially unsuitable cohorts of business within a firm’s new business back book.
Specific Responsibilities:
- To undertake client file reviews in line Group procedures covering a wide range of advice types including pensions, investments, mortgages, equity release, IHT planning and protection.
- Work to resolve material information gaps and reach an assessment of suitability.
- Using case file evidence to produce detailed feedback documenting the results of file checking and a target firm’s advice processes.
- Assisting the due diligence team in understanding the target firm’s advice and client review process.
- Highlighting key risks associated with a target firm’s advice process & potentially unsuitable cohorts of business within a firm’s new business back book.
Due to the nature of the business, the role may also include additional responsibilities considered reasonable.
Job Responsibilities
- Minimum of 3 years financial services industry experience, preferably in a file review/technical specialist role.
- Diploma in Financial Planning (or equivalent).
- A range of qualifications in ‘specialist’ areas e.g. Long Term Care, Equity Release, Mortgages, Pension Transfers.
- Excellent attention to detail and analytical ability, with a high standard of both written & verbal communication skills.
- Highly organised with the ability to work to tight deadlines, when required.
- Working knowledge of the UK regulatory framework.
- A desire for continuous improvement and improving technical knowledge.
- Analytical thinking and problem-solving skills.
- Showing initiative, with a proactive approach to tasks.
- Confidence with IT and office software packages including Teams, Outlook, Word and Excel.
- Having an inquisitive nature.
- Flexibility / adaptability to cope with change.
- A team player with a positive attitude.
Job Benefits
25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme, Birthday Leave, Life Assurance, Corporate Eyecare and Extras Discount shopping discounts.
