Description
KPMG Leeds are looking to recruit a number of Skilled Financial Planners/Advisers to help conduct a project with one of our largest Banking customers. The role will involved reviewing the Investment and Protection products sold to the Banks customers and identifying if the advice they were given was appropriate. Candidates will need to have a good level of understanding for the compliance that the Bank's advisers should follow, combined with good attention to detail and decision making in order to assess the steps taken.
This role is a six month rolling contract.
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 essential. Diploma in Financial Planning/Advice is desirable.
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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
Recruitment Process:
We are looking for immediately available candidates. Successfully shortlisted candidates will be invited to attend an assessment centre in our Leeds office.