Compliance Officer
2 months ago
True Potential are a market leader providing wealth management advise in pensions and investments. With over 15+ years’ experience, we are an award-winning business working with 20% of the UK's Financial Advisors.
We have created an inclusive and empowered culture where innovation, creativity, agility, and leadership are rewarded.
By using technology to drive change, we are revolutionising wealth management and delivering innovative solutions that are built for the future, making it a dynamic and exciting place to grow your career.
- **The role**:_
As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.
- **About you**:_
Desired skills/qualities are below:
- Strong communication skills, both verbal and written
- DipPFS Level 4 qualification in Financial Advice required (partial completion of appropriate qualifications may also be considered)
- Previous experience in a similar role would be beneficial, although full training provided
- **Duties and responsibilities**:_
- Ensure client files are in compliance with regulatory standards and internal policies
- Files submitted and checked via in house back office system
- **Benefits**:_
- Hybrid working
- Performance based bonus (£500 monthly, after 3 months qualifying period)
- Further qualifications paid for by firm with support from external training companies
- Potential future progression into an employed paraplanning or advice role
- Company/team events throughout the year
- Company pension contribution (increases with length of service)
- Free on-site parking
- 30 days annual leave, including Bank Holidays (increases with length of service)
- True Potential Rewards - Cashback on online purchases
- True Potential Academy - Allowing our employees to develop their career within the wealth management sector
- Refer a Friend Award
- **Ability to commute/relocate.**_
- Newcastle upon Tyne: reliably commute or plan to relocate before starting work (required)
If you are passionate about helping individuals achieve their financial goals and have a passion for Wealth Management, we would love to hear from you.
**Job Types**: Full-time, Permanent
**Salary**: £28,000.00 per year
**Benefits**:
- Company events
- Company pension
- Free parking
- On-site parking
- Referral programme
- Transport links
- Work from home
Supplemental pay types:
- Bonus scheme
Application question(s):
- Are you DipPFS Level 4 qualified or part-qualified?
Ability to Commute:
- Newcastle upon Tyne, NE15 8NX (required)
Work Location: In person
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