Compliance Officer - Wealth Management
- Location: Berwick Upon Tweed or Durham
- Job Type: Full-time
- Salary: £35,0000 - £55,000
We are seeking a Compliance Officer L4 Diploma and a background in financial services. This role is ideal for someone who enjoys mentoring and developing others, possesses strong critical thinking skills, and excels in a dynamic, compliance-focused environment.
Day-to-day of the role:
- Work closely with Compliance and T&C Managers to gather information for FCA reporting.
- Assist Financial Advisers with internal compliance, conducting internal file reviews and thematic reviews as required.
- Consult with colleagues to address their needs and support the Financial Adviser and Paraplanner Teams in delivering quality service.
- Prepare documentation for external audits and third-party checks.
- Maintain accurate compliance logs and registers, and document internal compliance and departmental committee meetings.
- Ensure adherence to Money Laundering responsibilities and SM&CR requirements.
- Assist with the sign-off of Financial Promotions and the creation and review of policies and procedures.
- Uphold the Code of Conduct policy and Consumer Duty, ensuring service needs are met professionally and accurately.
Required Skills & Qualifications:
- Chartered Insurance Institute L4 Diploma in a relevant field.
- Experience in financial services, preferably within a busy transaction processing environment.
- Proficiency in Microsoft Office; knowledge of XPlan is highly beneficial.
- Meticulous attention to detail with strong team and communication skills.
- Confidence, approachability, and strong time management skills.
- Commitment to professional development and continuous learning.
Benefits:
- Opportunity for ongoing mentoring and support towards Chartered Insurance Institute L6 Chartered Diploma qualification.
- Professional development in a supportive and dynamic environment.
Apply today and a member of the team will be in touch to discuss in more detail