Description
KPMG are looking to recruit a number of Skilled File Reviewers to work closely with one of their leading clients in Leeds. This client has engaged with KPMG as they know we can provide quality service. The team of file reviewers will investigate the advice and sales conducted by the bank to identify any areas where they were non-compliant with the regulations.
Key responsibilities
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Carry out risk assessments and provide appropriate feedback
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Identify any potential fraudulent issues and report back accordingly
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Ensure all regulatory requirements are met in line with business standards
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Provide recommendations for resolutions and ensure they are in line with policy
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Strive for continuous improvement of the review process
Experience required
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A minimum of FPC/CeFA 1,2 and 3 or Diploma in Financial Advice essential
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An understanding of FCA rules and compliance requirements
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An in-depth knowledge of investment and protection products and systems
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Detailed knowledge and experience of financial services products and sales procedures
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Understanding of the complaint handling regulations applicable to the FCA