Compliance Officer

Heat Recruitment
Newcastle Upon Tyne, UK
09 Dec 2018
23 Nov 2018
Contract Type

The Client:
A fantastic opportunity has arisen within a chartered financial planning practice for a Compliance Officer to join a growing firm in Newcastle. They pride themselves on being able to provide top quality advice for every client in every scenario as well as being experts within the market. You will be joining a very well established, growing firm in a top-quality modern office. So if you are a forward thinking, motivated person who wants to work in a reputable firm with strong values then this could be for you. The Opportunity: You will be working alongside another compliance professional to support the firm with its risk-based approach to compliance monitoring and support the compliance manager in insuring the firm continues to provide a top quality service to it's clientele. Conduct appropriate product and provider due diligence and panel maintenance of a regular and ongoing basis. Assisting with the complaints process and dealing with them in accordance with the FCA complaints handling rules is a major responsibility. Ensure business decisions and priorities and aligned with the TCF principles. analysis, review client files upon completion of business Assist the Compliance Manager with managing the firm's relationship with FCA in line with FCA Principle 11- A firm must deal with its regulators in an open and cooperative way, and must disclose to the FCA appropriately anything relating to the firm of which the FCA would reasonably expect notice. What's needed for me to be considered? Level 4 Diploma qualified would be desirable. Previous experience within a financial services is essential Knowledge of using Synaptics, Exchange or Selecta Pension would be advantageous. FCA understanding of regulations and products, and their practical application What next? Apply today to be considered for this opportunity. If suitable, one of our specialist consultants will be in contact to discuss the opportunity with you in detail prior to submitting your CV to the client. In this discussion we will aim to identify your specific skills and motivations, and where appropriate recommend other relevant opportunities to you that match your requirements. Additionally, refer a friend or colleague to us and receive £200 in vouchers if we assist them in securing a new career. Job Synonyms: Compliance Officer, Compliance Manager, Compliance Assistant, File reviewer, File checker, This job was originally posted as