Newcastle upon Tyne
£40,000 - £45,000 + benefits
9 months ago
To support the Chief Risk Officer, Business Standards Director and Head of Group Compliance with regard to both regular and ad-hoc compliance and regulatory tasks as and when necessary.
The role will involve:
- Deal with client’s complaints in line with the firm’s complaint handling procedures. Ability to liaise with complainants and 3rd parties to obtain suitable outcomes.
- Maintain and manage the firms Complaint Register.
- Maintain the company’s Financial Promotions and advertorial approvals process in line with the FCA rules for Financial Promotions through to assessment and approval as appropriate by Head of Group Compliance.
- Approved person’s regime. Prepare, audit and administer recruitment files for all new advisers, for approval by the Head of Group Compliance to a standard that meets the requirement of the firm and the Financial Conduct Authority.
- Maintain all Compliance Registers with the firm(s) as required.
- Maintain the firms Document library and associated Gateway and Adviser Portal’s to ensure the availability of complaint documents to the adviser and paraplanning community.
- Create and edit compliance related documents as directed to meet the requirements of the firm and Financial Conduct Authority.
- Contribute to the content and maintenance of the Business Practices Manual.
- To assist the Head of Group Compliance in producing regulatory and other returns as required from time to time.
- Level 4 Diploma qualified or equivalent
- Strong knowledge on Pensions and Investments
Strong Compliance experience with a Wealth Management background