Compliance Officer

Posted 8 November by Tempest Jones
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Job Title:

Compliance Officer


Competitive salary plus bonus depending on experience, qualification and performance at interview.


An opportunity has arisen for an IFA Compliance Officer to join a reputable IFA practice on the outskirts of Newcastle. The core purpose of the role will be to uphold effective monitoring of advice, systems and processes to safeguard the interests of clients, the company and its advisers. This is an excellent chance to join an outstanding firm.

This will be a varied role working for a very successful and well-established business specialising in whole of market financial advice.

Working collaboratively with the Compliance Director, you will assist with all compliance concerns within the business and be an additional point of contact for the board of directors, advisers and paraplanners with any technical compliance queries they have providing guidance where needed.

The role will involve ensuring that business processing, internal procedures and advice being given is accurate, compliant and in line with client needs. You will continuously look at how processes can be improved to become more efficient whilst ensuring all business written and activities are in line with FCA requirements and regulation. You will action PI renewals, annual returns, RMAR and continuously ensure GPDR is adhered to. Training on the latter can be provided if necessary.

Key Skills:

  • Applicants will IDEALLY be Level 4 qualified, those with Advanced Diploma will be at a distinct advantage.
  • You will have extensive experience in a similar compliance role within an IFA business, or come from a file checking, T&C background within a financial services company.
  • You will have excellent communication skills and the confidence to deliver sometimes quite negative feedback to advisers in a constructive manner.
  • You will be dynamic and enthusiastic with a passion for the role that you do, keen to join a team-focussed and mainly office-based environment.

In return for your collaboration and hard work, a competitive benefits package will be on offer along with an attractive salary which will depend on level of experience, qualification and performance at interview.

To apply, please send your CV to jenny @ tempestjones . com

Compliance Manager, Compliance Officer, File Checker, Training and competency, T&C

Reference: 39330259

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