EMEIA FSO - Regulated Investment Suitability Review – File Reviewers in England - London, United Kingdom

at Ernst & Young

Financial Services
Minimum Qualification
Bachelor's Degree
Required Experience
5 - 7 years
Employment Type
Full Time
Male or Female
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Job Description

We are currently working with high profile bank to conduct an investment suitability review and require a number of contractors with significant past experience of working on similar reviews. The project will run for at least 6 months and will start late October/early September 

  • 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)
  • Requirements

    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)
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