Foster Denovo|Careers|Our vacancies

Compliance Review Executive 21095

Location: London / Weybridge
Application Deadline: 04 September 2022

Job Summary:

The role holder will be responsible for monitoring the delivery of our review service to all relevant clients. The role will include monthly reporting of clients due for review, checking that the relevant paperwork is uploaded to Intelligent office, and providing the relevant monthly reports to our Compliance Department regarding outstanding reviews. In addition the role holder will be project work to ensure that Foster Denovo continues to maintain the delivery of annual reviews to clients. Reporting directly to the Compliance Review Manager, the role holder will work within the Compliance Team.


· Previous experience of working in a busy administrative role. · Good telephone manner with the ability to build rapport with colleagues and clients quickly. · Excellent communication skills, both verbal and written. · Excellent organisational and prioritising skills, with the ability to handle multiple tasks, work to tight deadlines and stay focused under pressure. · Excellent attention to detail and accuracy of work. · Team player but must be able to work independently and collaboratively with different teams. · Excellent knowledge of Microsoft office packages including Word, Excel, and Outlook. · Commitment to pass basic Desirable · Knowledge and experience of Intelligent Office · Previous experience working with Financial Advisers

financial industry exam within 3 months of employment (internal exam

Main Responsibilities


· To provide a friendly and efficient service to all Partners and Dedicated Support


· To assist with the maintenance of the company’s office record-keeping systems

· To produce and circulate the monthly client review report to Partners within the

agreed timescales.

· Support our Partners with updating their review details in Intelligent Office as


· Compliance check and process all completed reviews, in accordance with

company procedures and within agreed timescales.

· Maintain the central client review record.

· Take responsibility for chasing outstanding reviews in agreed timescales.

· Produce monthly MI for the Compliance Review Manager regarding overdue


· Undertake any other duties commensurate with your grade, skills and experience.

· To participate in appropriate company and departmental training, competence and

development initiatives.

· To participate in appropriate company and departmental training, competence and

development initiatives.

· In line with Foster Denovo’s service excellence programme, they will be expected

to provide exceptional client service at all times. They will be required to keep up

to date with all relevant organisational training and best practice to enable this

standard to be met.

Key Skills and Personal Attributes

· A positive, friendly service orientated team player with a “can do” attitude who is

aware of the important role played by advisers and their staff in providing financial


· Accuracy, attention to detail and high standards of work.

· Ability to stay focused and calm under pressure and able to manage own workload.

· Smart in appearance and an articulate communicator.

· Honesty, integrity and ability to maintain confidentiality are key attributes.

· Able to build and maintain strong working relationships across the business

· Hard working and responsive to the need to deliver a high-quality support service.

· Strong numeracy skills

· Team player

· Ability to use initiative to deal with queries from internal customers

Find me an adviser
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