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Business Operations Compliance Officer

1 month ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom IDEX Consulting Full time
About the Role

IDEX Consulting is working with a leading Advisory firm in the North of England to recruit a Business Operations Compliance Officer. The job purpose is to help them maintain and develop standards across the Financial Planning Team.

Key Responsibilities
  • Developing and maintaining effective business standards through guidance and procedures
  • Ensuring the embedding of these standards through all activities undertaken
  • Completing file review activity as defined by the T&C Scheme
  • Carrying out file reviews to ensure suitability/records meet firm standards
  • Providing feedback on file reviews in an effective and constructive manner
  • Maintaining stakeholder relationships, specifically with FPC's, line managers, and the Compliance Team
  • Maintaining accurate file review records

Due to the regulatory nature of this role, the successful candidate will require a Level 4 Diploma in Financial Advice.

Requirements
  • A strong understanding of business operations and compliance
  • Excellent communication and interpersonal skills
  • Ability to work effectively in a team environment
  • Organisational skills with attention to detail

The salary for this position is approximately £35,000 per annum.