Job Compliance Officer - National IFA firm NORTH EAST (ENGLAND) UK Recruitment - job offers

Job title: Compliance Officer - National IFA firm

Job description:
Our client is a national independent and Chartered financial adviser that offers holistic financial planning to clients across the UK with offices in Bristol, Edinburgh, London and Newcastle; covering all financial matters including Investment management, Pensions & Retirement planning, Wills & Trusts and Mortgage & Insurance. Taking clients from ‘Cradle to Grave’, their advisers find the most suitable financial solutions that will help monopolise on their clients’ wealth and circumstances. Their office in Newcastle is seeking a compliance officer to assist the financial planning team, to ensure that the highest standard of advice is being provided to clients at all times. Working within the compliance department among other compliance professionals, the sought after individual will be responsible for checking the advice that has been given to clients. The successful applicant will do this by checking clients files, suitability reports and the research carried out to support the ‘Reasons Why’ the advice that has been given. The role involves feeding back to advisers, constructive guidance for improvement, changes and adaptations to the advice either after or before the full advice process. Experience in this role is important so that you can hit the ground running, applicants will need to have carried out similar duties within a financial services practice before, having worked either for a Network, another national IFA or within an IFA environment. The successful applicant not only needs to be able evidence knowledge of all advice areas, they will have strong product knowledge, a technical understanding of complex areas of advice and ideally will already hold the Diploma in Financial services or be over 75% towards it. If you would like to find out more about this role please contact Louise Sheppard at Recruit UK Ltd on 01179 170411

Employer Name: UK Recruitment

Form of contact: Recruiter

Job short description: Financial and investment advisers

Country: United Kingdom


Contract duration: Permanent

Contract type: Full time

Source of job offer:
Department for Work and Pensions, Public Employment Services, United Kingdom

How to apply: Other - see free text

Salary currency: GBP

Salary period: Monthly


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