Job Role

Carrying out document checks on all new business submitted by advisers and liaising with advisers, administrators and paraplanners to ensure all files are compliant. Pipeline management of new business cases through to completion by using online provider websites as well as communicating with clients, solicitors and providers via telephone and email.

Responsibilities

Compliance document checks

• Completing front of house compliance checks on all initial business to ensure all required documentation is on file, if necessary contacting the Adviser to inform them where compliance documents are still required.
• Support the Compliance team by enforcing new regulations and processes to comply with FCA and Group Compliance requirements as and when these are enforced
• Highlighting any high-risk business to the Compliance team to ensure that they are processed in the correct manner and comply with safeguarding regulations.
• Vetting all client documentation to ensure that in the event of a complaint the Adviser has provided sufficient evidence to justify his advice.
• Ensuring all Clients have relevant identity documentation on file to meet anti money laundering regulations
• Flagging cases for file checks and sending to the Compliance Department, in particular when business represents a higher risk, such as vulnerable clients, and to confirm Advisers have had sufficient file checks in each business type to confirm competency.

Responsibilities Continued

Reporting

• Producing compliance reports to inform Firms of any outstanding documents, to enable them to update cases in a timely manner and to resolve any withheld commission issues.
• Recording where fees have been received but no advice provided, checking that necessary agreements and documents are on file so that the case is processed with sufficient information to highlight the reasons for the charge and the relevant documents, including invoices, are present
• Identifying advisers who repeatedly fail to meet the Groups T&C requirements and highlighting areas that may require further training to maintain the Group’s industry standard.

Adviser Relations

• Providing an overview of the Case Management process for existing firms visiting Head Office – this includes presentations and demonstration of Adviser Portal and Gateway
• When required, attending Roadshows to maintain and broaden knowledge of new systems and compliance updates whilst representing the Group and distributing findings to the rest of the team upon return.
• Providing Adviser support to ensure a smooth transition from submission to completion, answering queries and liaising with
• Being the first point of contact for external calls and directing them where necessary to the relevant departments.
• Welcoming new Firms on board, answering queries regarding necessary compliance documentation and case progression

Responsibilities Continued

Pipelines

• Monitoring business submitted by internally case managed firms, chasing up Providers where necessary and dealing with any issues that may arise prior to completion. Accessing external platforms to check the status of active business.
• Creating and processing reports from externally case managed firms to ensure pipelines are up-to-date and fees are received in a timely manner
• Analysing pipeline reports to identify cases where fees should have been received and to investigate when it is expected to give an accurate representation of fees still to be paid

Letters of Authority

• Adding client records onto the system following receipt of a letter of authority, checking information has been sent from Providers and successfully received at Head Office to provider Advisers with full information to assess the client’s needs. Additionally, confirming if servicing rights have been correctly transferred and updating the system to confirm

Benefits

• Company pension scheme
• Death in service
• 25 days annual leave
• Flexible Benefits
• Birthday as an additional day off
• Opportunity to purchase additional holidays
• Enhanced family friendly policies
• Cycle to work scheme