Job Description for Trainee Executive

Purpose of role: To review case documentation submitted by members, compile feedback, update and maintain systems and other records as appropriate and report serious issues to Management. Carry out reviews of documentation submitted by members against agreed standards Assessment of cases against set criteria to ensure that they meet regulatory and network requirements Compile accurate and appropriate feedback within agreed / established service standards Refer to Management any cases of unsuitable advice or when a case falls outside of the jobholder's expertise Ensure that accurate and accessible records of case reviews are maintained Liason with Account Managers by telephone and in writing in an appropriate manner, providing a high standard of customer service Maintenance of key management data required by BMU Management to assess performance Contribute to team projects as required Have an awareness of the key risks facing the business, to identify and refer to BMU Management any areas of concern identified Contribute to self development and the development of the team through regular input at team briefings and one to ones

Responsibilities:

Critical skills required:

Analytical mind Excellent attention to detail Good standard of written and verbal communications Good decision making skills Ability to coach and provide feedback Background knowledge of FSA Conduct of Business and advice process requirements Good knowledge of financial services products and markets Knowledge and experience of a compliance function

Critical knowledge required: