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Job Specification

New Business Review Manager - Level 4 Qualification and Relevant Experience Required

£40K- £45K + Generous Benefits     | City of London or Surrey
Ref: 3388R3

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

Our Client, a leading Financial Advice/Wealth Management Company, is looking for a compliance review manager to join their compliance team. Overseeing an outsourced team reviewing current or recently completed cases, duties will include;
• Assess the adequacy of follow up actions completed by advisers following suitability  file reviews 
• Provide pro-active guidance and a robust response with regard to any identified trends arising from file reviews.
• Assist with collating information for internal MI
• Prepare a quarterly report on the activity completed within the role and key risk areas
• Work to help ensure achievement of the Regulator’s Conduct culture initiative is met
• Maintain knowledge of compliance manual, T&C scheme, operational procedures and related internal bulletins.
• Maintain knowledge of the products recommended and services offered by the advisers being supported.
• Assist with the updating and maintenance of internal processes and procedures from time to time as required.
• Maintain data, records and files.
You should be qualified to Level 4 (minimum requirement) and have at least three years of experience of similar new business file reviews, some of which must have been with a similar financial advisory company. You should also possess technical knowledge across pensions, investments, mortgages and protection. NB Role could be based in Surrey or else in the City but with a weekly visit to the Surrey offices.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at

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