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Compliance Specialist

3 months ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom BMC Recruitment Group Full time

Our client is a rapidly growing financial advisory firm based in the UK. They utilize cutting-edge technology and systems to help their Wealth Management Partners boost productivity, lower costs, and enhance their overall value.

This is no ordinary opportunity, folks We are on the lookout for a Compliance File Checker to join this innovative company on a permanent basis. You'll be part of a dynamic compliance team handling cases from over 900 financial advisers.

Check out the nitty-gritty details of the job below:

  • Review cases submitted by 900+ financial advisers
  • Receive full training (previous experience in a similar role is a plus)
  • Check files using the in-house back office system
  • Help advisers with enquiries via email and phone
  • Receive additional qualifications paid by the company
  • Potential career growth into paraplanning or advice role down the line

Personal Profile:

  • Background in financial services training and competence preferred
  • Hold a Level 4 Diploma in Financial Planning or equivalent
  • Excellent organizational skills
  • Ability to juggle multiple tasks and projects
  • Adaptable and flexible mindset
  • Driven and self-motivated
  • Readiness to expand skills and knowledge, stay updated on regulations, and suggest improvements to standards and procedures