Compliance Officer/ File Checker

Central Manchester

Salary Range | £32,000 - £42,000

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.

NJR16900