Compliance Manager/File Checker

Recruiter
Coast Specialist Recruitment
Location
Newcastle Upon Tyne, UK
Salary
Competitive
Posted
13 Sep 2019
Closes
26 Sep 2019
Ref
1247859880
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
A large Financial servicing company has an exciting opportunity for an experience Compliance Manager in there Newcastle office .

This is a great time to join a highly established but still growing organisation.

Key responsibilities:
  • Monitoring File Reviews including recording of results; following up remedial action points, checking and signing off as necessary.
  • Carrying out in house file reviews - pre-approval / pre-checks
  • Adviser recruitment and training T & C Supervisor, preparing for 1-1s, liaising with Group recording results, running KPI reports etc
  • Dealing with Adviser and Staff compliance queries, technical / administrative and system queries.
  • Dealing with FCA Reporting - GABRIEL, Fees and Levies data - etc...
  • Oversight of AR firms and obtaining relevant FCA data for RMAR submissions
  • Complaint handling - start to finish - Dealing with the FOS as necessary
  • Financial Promotions - submission to 3rd Party Compliance Support Provider for review and maintain Financial Promotion Register
  • Responsible for implementation and updating and maintenance of Compliance Procedures, MLRO reporting, Complaints procedures etc. Coordinating completion of annual declarations and tests etc

If you have the right experience and wish to apply don't hesitate to contact John Lawrie

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