Senior Investigations Officer (Advice Checker
The Company: Selection Group is proud to be representing one of the largest independently owned IFA group/network in the UK with over 20 years industry experience. As an award winning firm they have a proven track record in helping financial advisers develop highly successful businesses within a strict framework.
The Role: They are currently looking to recruit a Senior Investigations Officer to be based centrally within their compliance department. You will investigate, conclude and report to senior management on allegations of malpractice working from intelligence received from third parties such as the FSA. You will be required to plan, deliver and implement departmental strategies to meet agreed organisation performance plans, in conjunction with budgets and communicate effectively will AR firms, advisers and product providers as required. The main responsibilities are:
· Conduct investigations into any allegations made
· Provide feedback in the form of a report with recommendations applicable to internal staff
· Conduct one to ones with staff in line with agenda and feed back to staff and management in a compliant manner
· Prepare monthly reports for the disputes team
· Support staff as required across the business
The Person: You must be a level 4 diploma qualified (QCF level 4) or at least working towards this qualification, and have awareness of the Investigations Dispute process and FOS guidelines. You will understand the retail financial and mortgage markets and understand data protection laws in line the financial services industry. Ideally you will come from a network environment and any specialist knowledge of specialist areas (ie. Pension transfers) would be advantageous.