Compliance File Checker

Job Location	Throckley
Education	Not Mentioned
Salary	£30,000 - £36,000 per annum
Industry	Not Mentioned
Functional Area	Not Mentioned
Job Type	Permanent , full-time

Job Description

Compliance File Checker, Newcastle-upon-TyneSalary £30,000 and OTE £36,000 per annumTalent84 is delighted to once again be supporting our award-winning fintech client with their search for a Compliance File Checker to join their busy compliance department team. This is an exciting opportunity for an enthusiastic professional to join oneof the UK’s leading wealth management companies and play a key role. The successful candidate with hold the Level 4 Diploma in Regulated Financial Advice or at least be working towards this qualification.Responsibilities

Manage the end-to-end review of client files to a high standard in a precise, efficient manner
Ensure processes are consistent with internal and industry standards
Proactively remain up to date with industry regulations
Serve as the main point of contact for compliance related queries, addressing any questions or concerns
Provide regular updates and reports to management on the status of reviews
Providing insight and support on the regulated advice process staying up to date with industry standards

Requirements

Ideally hold Level 4 in Regulated Financial Advice, partially qualified considered if working towards obtaining full diploma
Have a robust understanding and knowledge of investment products and taxation
Demonstrable experience in Financial Services, particularly with a regulated advice environment
A genuine desire to progress their career in financial services
Have excellent communication skills

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