Suitability Reviewer - Wealth Management - Contract

OUR CLIENT, A LARGE BANKING ORGANISATION IS LOOKING TO RECRUIT A NUMBER OF EXPERIENCED SUITABILITY REVIEWERS TO JOIN A LARGE WEALTH MANAGEMENT SUITABILITY REVIEW. CANDIDATES MUST BE LEVEL 3 OR 4 FPC QUALIFIED AND MUST BE OPEN TO WORKING IN EITHER BIRMINGHAM OR GUILDFORD. THE PROJECT WILL RUN FOR 6-12 MONTHS.

QUALIFICATIONS

- Ideally a CISI Diploma in Investment Compliance (QCF L6), Investment Operations Certificate (IOC) (QCF L3) and the Certificate in Combating Financial Crime (QCF L3) - AML, CTF, sanctions regime, PEP assessment, corruption/bribery etc.
- OR CII Diploma in Financial Planning (QCF L4 as a minimum), including FPC, R02 (Investment Principles and Risk), R03 (Personal Taxation), G60, CF9, CeMAP and IF1 (General Insurance)

SKILLS AND EXPERIENCE

- Excellent communication skills both verbal and written
- Customer contact experience via telephone and letter
- Experience of identifying and calculating appropriate redress solutions

KNOWLEDGE

- Current knowledge of the Regulated Investment Suitability Regime and conduct of business including a range of all Investment products
- A working knowledge of regulated sales processes and associated sales documentation including fact finds and suitability letters
- recent experience of working on regulatory driven reviews with a particular focus on investment suitability in the wealth management sector - including - ideally directly experience of working in response to and with/for the Regulator (FSA and FCA)

If the role is something of interest then send your application to or call Luke Welham

JCW are operating as a recruitment agency for the purposes of this position.