True Potential LLP

communication

Compliance File Checker

• Posted: Wednesday December 16th, 2009.
• Written by: Daniel Harrison

Background

True Potential is the fastest-growing provider of support services to financial advisory firms in the UK. We deploy advanced technology and systems which enable our member firms to increase their productivity, reduce overheads and increase their value. A key aspect of our service is compliance consultancy, which we deliver via state-of-the-art systems to provide the highest level of bespoke compliance support to our clients. The advanced technology allows for all aspects of compliance to be dealt with remotely.

An opportunity has arisen in our Compliance function for an experienced file checker.

Job Description: Compliance File Checker

Aim

To check business submission files in accordance with established standards and targets set within the function, providing feedback to member firms to enable their advisers to become proficient.

Report to

Compliance Partners.

Job Role and Description

1      File checking

Cases are presented on the True Potential electronic system for proficiency checking, the following activities are required:

• Managing workflow
• Checking all categories of cases, recording results on the system
• Providing appropriate feedback to individual advisers
• Liaison with client firms
• Signing off advisers and firms as proficient
• Performing and recording further reviews on an annual basis
• Operating within defined targets and objectives (volume and quality of checking)

2      Compliance support

The individual will be expected to learn other aspects of compliance with a view to providing cover whenever needed.

Personal profile

• Ideally from an IFA background
• Full or Part FPC
• Compliance experience
• Strong organisational skills
• Ability to work on multiple tasks and projects
• Good communication skills
• Flexible approach
• Committed and self-motivated
• Willing and able to develop wide skills and knowledge

Interested applicants should send their CV and a covering email to discover@tpllp.com

• 1 Comment »
• |
• Latest News, Work for TP

One Response to "Compliance File Checker"

• 

  Tom Owen

  Dear Sir
  Can you advise me if the role of file checker is still available.

  Many Thanks

  TomO wen

  March 4th, 2010

Leave a Reply
	Post Comment
Name*
Email	Used for Gravatars
Your Homepage
Your Comment*