Authorisations and Onboarding
Location
Bournemouth, Dorset | United Kingdom
Job description
Overall Responsibility:
To work as part of a small team within strict timescale to process, underwrite and reference firm/ adviser applications for network ‘on boarding’ & achieve a positive customer outcome. Authorise and undertake FCA registrations for all Appointed Representatives joining the networks. Deal with and process any day-to-day enquiries and provide ongoing support for advisers and AR firms ensuring a positive customer culture. Handle incoming telephone calls and emails whilst maintaining accurate audit trails.
Follow the teams Policies, Procedures and Checklists. Understand and incorporate any adjustments required to process evolving changes in FCA regulations and/or network requirements.
Key Responsibilities to include:
- Accurate inputting of data – ensuring all applications are processed to set standards and within specified timescales.
- Handling of adviser queries by email and telephone to achieve a positive customer culture.
- Underwriting and undertaking referencing for applications received.
- Maintaining and updating the pipeline throughout the ‘on boarding’ process.
- Liaising with advisers/lenders/providers and regularly update & ensure a positive customer culture.
- Ensure full referencing procedures are followed at all times.
- Ensure all procedures and standards are followed as set out in team procedures and that all customers are treated fairly at all times to ensure a positive customer culture across the business.
- Uploading of all authorisation firm and adviser files to the GAS database.
- Assisting the line manager and NQM with weekly and monthly management reports.
- Ensuring the FCA Register and Adviser Directory are kept up to date.
- Keeping an accurate CPD record and completing the required annual assessments.
- Ensure all tasks undertaken follow the companies GDPR guidelines and requirements, whilst working at home and in Head Office.
- Complete Key Objectives detailed within the annual appraisals and reviewed in 121s.
- Play a key role in contributing to the networks Consumer Duty obligations, considering these obligations in all actions and decisions that are taken.
- Carry out ad hoc tasks as may be delegated to you by your line manager as required by the business.
PERSON SPECIFICATION – AUTHORISATIONS AND ONBOARDING
| | Essential | Desirable |
| Qualifications | · Good standard of general education | |
| Experience/ knowledge | - Basic knowledge of compliance
- Knowledge of Financial Services
- An understanding of FCA regulatory functions
- Previous experience in customer services / customer facing role
| - Previous experience of an ‘onboarding’ process
- Financial industry experience and an understanding of the network function
|
| Skills | - High degree of accuracy and attention to detail
- Ability to process forms and action within specific timescales
- Ability to prioritise & problem solve
- Excellent time management skills
- Good written and verbal communication skills
- Ability to work as part of a team
| |
| Personal Attributes | · Professional approach · Customer focused · Integrity, diligence and diplomacy | |
| Other | | |
Job tags
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