Compliance File Checker
Newcastle upon Tyne
£20,000 - £25,000
Are you qualified in a level 4 Diploma in Financial Planning or Regulated Financial Planning? Would you like to work for a company that can offer you genuine career progression?
BMC Recruitment Group is delighted to be supporting a leading financial services company on the outskirts of Newcastle city centre. The firm have grown significantly throughout covid and are currently looking to expand their compliance team.
The role will include:
- File checking for all business types pre and post-sale
- All investment types will be covered, although training will be provided on more complex investment areas
- Assisting with daily and monthly reporting of compliance stats
- Dealing with adviser queries by email and phone
- Assisting with compliance investigations
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