Compliance File Reviewer

Recruiter
MERJE
Location
Newcastle Upon Tyne
Salary
c. £36,000 plus benefits
Posted
12 Nov 2017
Closes
12 Dec 2017
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Our client is a well-respected Financial Services organisation looking to recruit a Compliance File Reviewer. The individual would be an integral part of a busy compliance team responding to deadlines and service levels that require a focus and dedication to quality and principles of the organisation.

The role:

  • Experienced in reviewing pension and investment to include:
  • Occupational Pensions
  • Occupational Pensions Transfers
  • Personal pensions
  • Occupational Pension switches
  • Off shore Bonds
  • NISA,s
  • Corporate Protection
  • Excellent communication skills, both written and verbal are essential requirements of the role.
  • Quality assess both pre - sale and post -sale client reviews
  • Provide feedback to advisers
  • Reporting to the Head of Group Compliance and providing monthly MI

Key Requirements –

  • Ideally Diploma Level 4 qualified
  • Candidates who are working towards the Advanced Diploma would possess a distinct advantage
  • A fundamental understanding of the Financial Conduct Authority’s Conduct of Business rules and principles of business would be desirable.