Compliance Officer/ File Checker
Central Manchester
Salary Range - £28,000 - £36,000
CII Part qualified
NJR Recruitment is working in Partnership with a firm of Financial Planners who are now keen to recruit an additional member of their Compliance team. This is an exciting opportunity for a driven individual who is keen to develop a career within Compliance within the Financial Planning industry.
Candidates applying for the role should offer either -
- 1+ years in paraplanning or compliance, or
- 3+ years in administration.
This will be a busy and varied role, consisting of -
- File checking to check suitability of advice
- Call checking to check suitability of advice
- Assessing vulnerability characteristics and support needed
- Delivering feedback to advisers, paraplanners
- Providing support to departments across the business for ad-hoc queries
- Ensuring adherence to regulations, legislation and internal policies
- Assisting in implementing and maintaining robust compliance policies and procedures
To be considered, candidates will need to have started working towards the CII exams, with experience working in the industry, as stated above.
NJR 16900
#ADM
Pay: £28,000.00-£36,000.00 per year
Application question(s):
- Have you gained a couple of the CII R0 exams?
- Do you have either 1+ years in paraplanning or compliance within an IFA Firm, or 3+ years IFA Administration.
Work Location: In person
