Vetting and verification of all FSP and FAIS representatives as per FSCA requirements and our internal standing operating procedures. Capture information on the CRM system database. Uploading of documentation to electronic filing system. Communication of verification outcomes to Services Managers an
Vetting and verification of all FSP and FAIS representatives as per FSCA requirements and our internal standing operating procedures. Capture information on the CRM system database. Uploading of documentation to electronic filing system. Communication of verification outcomes to Services Managers an
The QA will be responsible for checking all compliance documents, applications, quotes and supporting for any discrepancies, omissions, errors or non-compliance, for their allocated panel of brokers as well the benefits of the proposal. A fully completed compliance pack with detailed record of advise to clients etc space 2 years of previous Paraplanner or Compliance or Quality experience within Financial Services
The QA will be responsible for checking all compliance documents, applications, quotes and supporting for any discrepancies, omissions, errors or non-compliance, for their allocated panel of brokers as well the benefits of the proposal. A fully completed compliance pack with detailed record of advise to clients etc space 2 years of previous Paraplanner or Compliance or Quality experience within Financial Services