Compliance File Checker

Newcastle upon Tyne

£25,000 - £30,000


Our client are one of the fastest-growing financial advisory firms in the UK. They deploy advanced technology and systems which enable their Wealth Management Partners to increase their productivity, reduce overheads and increase their value. They employ state-of-the-art systems to provide the highest level of Training & Competence support to their Wealth Management Partners.

An opportunity has arisen in the firm for a Compliance File Checker to join them on a permanent basis.

The salary remuneration is £30,000 inclusive of a bonus.

Job Description

  • Part of a dynamic compliance team reviewing cases submitted by 900+ financial advisers
  • Full training provided although previous experience in a similar role would be beneficial
  • Files submitted and checked via in house back office system
  • Assistance with answering enquiries from advisers by email and telephone
  • Further qualifications paid for by firm with support from external training companies
  • Potential future progression into an employed paraplanning or advice role

Personal Profile:

  • Must be fully CEMAP qualified
  • Ideally from a financial services training and competence background.
  • Strong organisational skills.
  • Ability to work on multiple tasks and projects.
  • Flexible approach.
  • Committed and self-motivated
  • Willing and able to develop wide skills and knowledge, including keeping abreast of regulatory updates and recommending amendments to current standards and procedures as appropriate.

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