We are currently working with an established Financial Services Network based in Swindon who have a need for growing their Case Checking team.
Main Purpose of role:
The main purpose of this role is to assess the quality of advice given by advisers in respect of investments, mortgages, pure protection and general insurance, as well as more technical cases such as IHT and Trustee Investments.
Key Accountabilities:
- To assess cases, both pre and post submission to ensure the justification and quality of documentation is compliant and in line with FSA standards.
- Assess suitability reports, old scheme information and proposed product literature to determine whether any replacement/transfer is in the client's best interest.
- Liaise with advisers by phone and email to resolve technical queries and gather any outstanding information.
- Liaise with Competency Development Managers by phone and email in order to progress Advisers to Competent Adviser Status.
- Assist advisers by demonstrating how suitability reports should be structured to support their advice.
- Work closely with your colleagues to ensure workloads are managed and productivity is monitored.
Key Attributes:
- Have a good knowledge of all aspects of financial services and FSA rulebooks and be able to quickly establish the key risk areas.
- Must be qualified to at least full FPC level, ideally to DipFS level.
- Have a good understanding of financial matters generally, and be able to quickly identify what constitutes good or bad advice.
If you are interested in hearing more then please get in touch.
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