Compliance Officer/File Checker
Permanent
Newcastle
Competitive Salary
As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.
Responsibilities:
* Ensure client files are in compliance with regulatory standards and internal policies
* Files submitted and checked via in house back office system
* Assisting answering enquiries from advisers by email and telephone
Background:
* Strong communication skills, both verbal and written
* DipPFS 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