Compliance Officer

4 weeks ago


Newcastle Upon Tyne UK, Tyne & Wear, United Kingdom BMC Recruitment Group Full time

The role:

As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 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 will 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
  • Assisting answering enquiries from advisers by email and telephone


Benefits:

  • Hybrid working
  • Performance based bonus (after 3 months qualifying period)
  • Further qualifications paid for 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)


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