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Role:
Our client is looking to strengthen its wealth compliance function and has an immediate requirement for a Compliance Officer. The role can be on either a full-time or part-time basis and based out of their County Durham office or Borders office (north Northumberland).The department consists of a Compliance Manager, a T&C Manager and a Director, responsible for SM&CR, therefore there鈥檚 exceptional knowledge and direction available to the individual. You will receive ongoing mentoring and, if not Level 6 qualified, you will have the opportunity to study towards this qualification, ensuring you gain both the professional and practical skills to deliver quality client support throughout your career.The Compliance Officer role may interest someone already in a compliance function, or perhaps an Adviser or Paraplanner, looking for a compliance opportunity.Responsibilities will include:路 Working alongside the Compliance and T&C Managers, gathering information for FCA reporting路 Assist the Financial Advisers with internal compliance, conducting internal file reviews and thematic reviews as required路 Consult with colleagues on their needs and be able to deal with their queries supporting the Financial Adviser and Paraplanner Teams in providing a quality service路 Prepare files and paperwork for external audit and third-party checks路 Document internal compliance and departmental committee meetings路 Receive information to maintain Compliance Logs and Registers路 Ensure Money Laundering responsibilities are filled路 Assist with SM&CR requirements路 Assist with signing off Financial Promotions路 Assist with creation of new policies and review existing policies and procedures路 Adhere to the Code of Conduct policy and Consumer Duty路 Consult with providers and clients to ensure that the service needs are being met professionally, timeously and accurately
Qualifications:
- CII DipPFS essential
Candidate Requirements:
- Must have experience in Financial Services (Compliance/Paraplanning/Advice)
- Must be Level 4 (DipPFS) qualified
- Able to operate within a busy transaction processing environment
- Great communication skills - enjoys mentoring and developing individuals
- A confident and approachable individual
- Meticulous attention to detail with solid time management skills
- Competent Microsoft Office skills are essential and XPlan knowledge advantageous
- Willing to travel between both offices, as and when required
Benefits:
- Hours: 37 flexible working, core hours 9.30-4.30
- Holidays: 32 holidays including stats (increasing with service)
- Pension: 5% (increasing with service)
- DIS X3
- Private Healthcare (purchase option)
- Paid overtime
- Employee Perks Schemes (wellbeing support, discounted shopping, Reward & Recognition)
- Social activities
- Annual pay review
- Full study support
