IFA Business Risk Auditor

An IFA Business Risk Auditor is required by a market leading service provider that delivers advice and solutions to directly regulated IFA practices and discretionary management firms across the UK. This role is home-based but will require regular visits to client sites across London and the South East. There is a £6k car allowance in addition to the basic salary shown.

As a Business Risk Auditor, you will undertake business risk and file review assessment visits, mainly to medium to large financial service businesses and will help them understand regulatory risks relevant to their business, taking into account their short, medium and long-term objectives. You will provide, on a consultative basis, a firm with a bespoke and personalised report detailing the ways in which the risks can be mitigated. In addition, you will respond to compliance queries raised by clients, where possible, in a clear and concise manner and ensure that these responses are accurately recorded on the appropriate back office system. You will also be required to liaise with the Financial Conduct Authority (FCA) in conjunction with or on behalf of clients.

You will be a minimum of Level 4 Diploma qualified and will have a detailed knowledge of the FCA regulatory framework. You must have an excellent understanding of IFA processes and practices and it would be advantageous if you have had experience of delivering coaching and training, whether in a workshop format or one-to-one. Any experience of liaising with Regulators would also be desirable. Strong communication and stakeholder management skills are essential as is a full driving licence and the ability / willingness to travel around the region with occasional overnight stays.


Salary:£55000 - £65000 Per Annum + car allowance + benefits


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