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Compliance Officer

4 months ago

Newcastle Upon Tyne UK, Tyne & Wear, United Kingdom IDEX Consulting Ltd Full time

Compliance Officer

Newcastle

Salary £31,000 + Bonus


Our client is looking for a Compliance Officer to review cases completed by their Financial Advice team.


This role will suit someone who has level 4 qualification or is already a file checker and is passionate about helping individuals achieve their financial goals. Full training will be provided.


Role Responsibilities:

  • Ensure client files are in compliance with regulatory standards and internal policies
  • Files submitted and checked via in house back office system
  • Assistance with answering enquiries from advisers by email and telephone
  • Part of a dynamic team reviewing cases
  • Skills:Strong communication skills, both verbal and written
  • 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