Compliance Officer - Rayleigh, United Kingdom - New Leaf Distribution

Description

New Leaf Distribution Limited is a national network for Investment, Pension, Mortgage & Protection Advisers.

We work with over 150 financial services firms across the UK and provide them with compliance support, investment administration and business consultancy.

We are based in Rayleigh in Essex.

We are looking to bring in a Compliance Officer to assist the Management Team with the operations of the business.

The Compliance Officer role will involve working within the compliance team, reviewing Client files as well as assessing new and experienced brokers.

Role responsibilities for the Compliance Officer:

• Mortgage & Protection File Checks
• Protection Pre-Approval Checks
• Induction Assessments
• Supervised Meetings
• 121's and Roleplays with Advisers.
• Identifying risks associated with clients
• Prepare management information

Role requirements for the Compliance Officer:

• CeMAP qualification or equivalent
• Ability to prioritise workloads
• Good working knowledge of Microsoft Office
• Excellent communication skills with a confident telephone manner and strong writing skills
• Excellent organisational skills with a strong administration background

Job Types:
Full-time, Permanent


Salary:
From £26,000.00 per year


Benefits:

• Additional leave
• Company events
• Company pension
• Onsite parking
• Sick pay

Schedule:

• Monday to Friday

COVID-19 considerations:
Hand sanitizer available on entry


Ability to commute/relocate:

• Essex, SS6 7QA: reliably commute or plan to relocate before starting work (required)

Experience:

• Compliance or Supervision: 3 years (preferred)

Work Location:
In person


Reference ID:
CO250