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Compliance Officer

  • Location

    Newcastle upon Tyne

  • Sector:

  • Job type:


  • Salary:

    £25000 - £30000 per annum, Benefits: Pension & Benefits Package, Excellent bonus potential

  • Contact:

    Joanne McPherson

  • Contact email:


  • Contact phone:

    0113 274 3000

  • Job ref:


  • Published:

    over 1 year ago

  • Duration:


  • Expiry date:


  • Startdate:


  • Consultant:


Does the thought of being part of one of the fastest growing financial services firms in the UK appeal to you?  Do you want to be part of a forward thinking and technology focused wealth management business?  Do you want to take ownership and add value on a day to day basis?
If so this may be of interest, due to internal progression, a financial services firm based in Newcastle is looking to appoint a Compliance Officer to work in partnership with their adviser community.
Your core duties and responsibilities would be as follows:
·         Compliance monitoring and conducting file review activity including both pre and post-sale checks 
·         Feeding back to advisers in a constructive and timely manner to ensure quality standards are embedded into the advice process
·         Implementing remedial actions and following up to ensure completion and ownership
·         Identifying trends and collating data to share with the T&C team and wider compliance function including core KPI’s

You will ideally have the following skills and experience:
·         Demonstrable track record of providing business quality assessment and file reviews for advisers
·         Part QCF Level 4 as a minimum, though the full Diploma would be preferred, study support and development is available for the right person
·         Current knowledge of the advice process, the FCA handbook and regulatory guidelines including systems and controls
·         Detailed and logical approach to work with a keen eye for detail and the ability to disseminate complex information
·         Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
·         Competent with FS back office systems and the Microsoft suite of products e.g. Word & Excel
There is the opportunity to undertake further funded study and develop a long term and rewarding career within financial services with this forward thinking business.  You will enjoy a competitive basic salary, the potential to earn a significant bonus and generous benefits package whilst being part of a driven team of people.
Should this opportunity catch your eye please click the ‘Apply’ button, or, alternatively send your CV to Joanne McPherson at BWD.