Newcastle upon Tyne
£25000 - £30000 per annum, Benefits: Pension & Benefits Package, Excellent bonus potential
0113 274 3000
over 1 year ago
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.