Office-021

Compliance File Checker

Compliance File Checker Permanent full time, 35 hours per week.

Head Office – Ellesmere Port

We pride ourselves in building positive working relationships and providing a professional first-class service and our new role of File Checker within our Compliance division will play a significant part in ensuring this happens.

The Alexander Beard Group are an international financial services company specialising in UK Wealth, International Employee Benefits, International Education and NGO’s and Expatriate Services. Our Head Office is based on the outskirts of Ellesmere Port and within 20 minutes from Chester.

This role sits within our Compliance Department however will work very closely with our Expatriate Division to assist with the compliance checks that must be in place to make sure that our company standards are kept to our expected high standard at all times.

The role will include reviewing client advice files including pension transfers and other pensions with safeguarded benefits as well as monitoring training and competence for the advisers in that team. The job role holder will maintain the knowledge of compliance procedures and relevant Regulatory Rules as well maintaining the technical knowledge necessary to assess the suitability of advice across the range of products and services offered by the Alexander Beard Group.

In addition to this, the individual will possess skills in having meticulous attention to detail and accuracy when assessing the suitability of advice and when checking file documentation ensuring it is completed in line with the firm’s requirements. The requirement to meet deadlines as well as the ability to provide clear, accurate and constructive feedback to the advisor is also important as well as providing excellent communication skills for discussing cases with advisors/compliance colleagues.

The ideal candidate will therefore have excellent interpersonal and organisation skills with a good understanding and experience of using a Computer, specifically in using Microsoft Word and Excel. Someone who has worked in a similar environment who is able to demonstrate skills in prioritising and time management will be of interest. As such a Diploma 4 in Financial Advice (or equivalent) will be essential as well as an individual who comes from a compliance/financial services back ground.

In return, you will receive:

  • 22 days Annual Leave per year (plus Statutory Bank Holidays). This increases to 26 days after 4 years completed service.
  • A monetary loyalty bonus after 5, 10, 15 and 20 years’ service.
  • Company Sick Pay Scheme *
  • Work Place Pension
  • Death in Service Scheme *
  • Income Protection Scheme *
  • A day off on your Birthday *
  • Positive approach to Learning and Development opportunities
  • Free car parking
  • Departmental and Company Social Events

(* conditions apply)

If this is the next opportunity that you are looking for, please send your CV to anne.hogan@abg.net along with a covering letter demonstrating why your feel you are the right candidate for the role.