- Ensure client files are in compliance with regulatory standards and internal policies
- Files submitted and checked via in house back office system
- Assisting answering enquiries from advisers by email and telephone
- Strong communication skills, both verbal and written
- DipPFS Level 4 qualification in Financial Advice required (partial completion of appropriate qualifications will also be considered)
- Previous experience in a similar role would be beneficial, although full training provided
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Schools Mutual Services Newcastle upon Tyne, United KingdomJob Overview: We are seeking a highly skilled and detail-oriented Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that our company operates in accordance with all applicable laws, regulations, and internal policies. You will play ...
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Compliance Officer - newcastle-upon-tyne, tyne and wear, United Kingdom - Meraki Talent Ltd
Description
Job DescriptionCompliance Officer/File Checker
Permanent
Newcastle
Competitive Salary
As a Compliance Officer, you will be part of a dynamic compliance team reviewing cases submitted by 1,100+ financial advisers.
Responsibilities:
Background: