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Compliance Officer – Directly Authorised Financial Advice Firm

RecruitukLtd Salary: c£32k

I’m looking for experienced file checkers and complaint reviewers looking for a permanent position with the potential for career progression.  I have a vacancy in Newcastle-Under-Lyme that may be of interest to you and I’d like to discuss the opportunity in more depth with you.

My client is a directly authorised financial advice practice, employing a team of four desk based consultants who provide advice to clients across the UK.  The consultants are supported by a team of paraplanners and administrators.  They write high levels of business and are a busy and proactive team.

One of the company Directors is currently responsible for their compliance oversight; due to business demands, he requires a compliance officer/manager to manage the day to day compliance duties to include; file checks, MI reporting, Policy and framework updates, Complaint management, reporting and resolution and to be the first point of contact for their outsourced compliance provider.  The role reports directly into the Compliance Director who holds CF10, but will also work closely with the Operations Director.

The successful applicant

Will be an experienced compliance professional with experience of file checking and advice review.  You will need to have a strong understanding of all areas of financial planning, particularly investments and pensions.

The ideal candidate will be level 4 qualified in financial advice, however, experience is of higher importance and so if you are experienced and working towards the level 4 then you will be considered for the position.

You will need excellent communication skills.  You will need to provide feedback to the advisers following the review of their advice, you will need to ensure that all necessary documents and paperwork is held on file, you will also need to report MI to the board including registered complaints and redress.

What’s in it for you?

If this job has interested you so far and you meet the above criteria, then I would love to hear from you.  My client is looking to pay circa £32,000 dependent on the level of experience you can bring with you and also your qualifications.  If you are not yet level 4 qualified then my client is more than willing to assist you with the cost of your studies and exams and provide you with exam support.

The company is looking to expand and eventually, they will require a compliance team.  This is the first position within that team and so future opportunities for progression and responsibility will be available.

Please contact Louise Sheppard on 01179-450-450 to register your interest and discuss this role. Please quote reference 2926 on applying.


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