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For Companies At a Glance
- Tasks: Support compliance and governance by managing adviser onboarding and regulatory checks.
- Company: Join a growing financial planning network with a supportive team culture.
- Benefits: Earn £30,000 plus bonuses, private medical insurance, and a non-contributory pension.
- Why this job: Kickstart your career in compliance and make a real impact in financial services.
- Qualifications: Experience in compliance or adviser oversight is preferred; strong organisational skills are essential.
- Other info: Enjoy a hybrid working model and excellent career growth opportunities.
The predicted salary is between 24000 - 36000 £ per year.
Newcastle | Hybrid Working
£30,000 + bonus & strong benefits
We’re working with a growing financial planning network who are looking to appoint an AR Oversight Associate (Onboarding Executive) to join their Adviser Oversight / Onboarding team. This is a key role supporting the firm’s compliance and governance framework, with responsibility for adviser and firm-level checks, SM&CR requirements, and ongoing regulatory due diligence. It’s well suited to someone with compliance administration experience in financial services who enjoys detail-driven work in a structured, regulated environment.
The Role
- Firm-level responsibilities
- Carrying out due diligence checks for Appointed Representatives
- Managing DBS requests and adverse credit checks
- Gathering, reviewing and chasing required firm documentation
- Conducting sanctions and negative media checks on firms, directors and controllers
- Verifying directorships and regulatory information
- Issuing and following up regulatory reference requests
- Managing initial and annual certification checks for certified staff
- Maintaining accurate records across internal systems and the FCA Directory
- Tracking SPS renewals and liaising with advisers ahead of expiry
- Issuing and reviewing Fitness & Propriety questionnaires
- Checking qualifications, CPD and compliance evidence
- Supporting learning and training enrolment via LMS platforms
- Supporting the maintenance of compliance policies and procedures
- Ensuring individuals are appropriately certified for their regulated activities
About You
To be successful in this role, you’ll ideally have:
- Experience in a compliance or adviser oversight role within financial services
- A solid understanding of SM&CR and FCA regulatory requirements
- Strong organisational skills and excellent attention to detail
- The ability to manage multiple priorities and deadlines
- Confident written and verbal communication skills
- Experience using compliance tools such as Smartsearch, uCheck, Creditsafe or LMS systems (desirable)
What’s on Offer
- Salary of £30,000
- Bonus potential of up to 10%
- 10% non-contributory pension
- Private medical insurance
- Life assurance (8x salary)
- Supportive team environment with exposure to core compliance and governance activity
If you’re looking to build or continue a career in adviser oversight, compliance and regulatory governance, this is an excellent opportunity within a well-structured and growing organisation.
Onboarding Executive in Newcastle upon Tyne employer: Cap Resourcing Ltd
Contact Detail:
Cap Resourcing Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Onboarding Executive in Newcastle upon Tyne
✨Tip Number 1
Network like a pro! Reach out to people in the financial services sector, especially those who work in compliance or adviser oversight. A friendly chat can lead to insider info about job openings that aren’t even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of SM&CR and FCA regulations. We want you to feel confident discussing these topics, as they’re crucial for the Onboarding Executive role. Practice common interview questions with a mate to get comfortable!
✨Tip Number 3
Showcase your attention to detail! During interviews, share examples of how you’ve managed compliance tasks or handled multiple priorities. This will demonstrate that you’re the perfect fit for the structured environment they’re looking for.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re here to support you every step of the way in landing that dream job in adviser oversight.
We think you need these skills to ace Onboarding Executive in Newcastle upon Tyne
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Onboarding Executive role. Highlight your compliance administration experience and any relevant skills that match the job description. We want to see how you fit into our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your experience aligns with our needs. Keep it concise but engaging – we love a good story!
Show Off Your Attention to Detail: Since this role requires a keen eye for detail, make sure your application is free from typos and errors. We appreciate precision, so double-check everything before hitting send!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at Cap Resourcing Ltd
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of SM&CR and FCA regulatory requirements. Being able to discuss these confidently will show that you understand the core responsibilities of the Onboarding Executive role.
✨Show Off Your Organisational Skills
Prepare examples from your past experience where you've successfully managed multiple priorities and deadlines. This will demonstrate your strong organisational skills, which are crucial for this position.
✨Be Detail-Oriented
Since this role involves a lot of detail-driven work, be ready to talk about how you ensure accuracy in your tasks. Bring up specific tools or methods you use to maintain high standards in compliance administration.
✨Practice Your Communication Skills
As you'll need to liaise with advisers and manage documentation, practice articulating your thoughts clearly. Consider doing mock interviews to refine your verbal communication skills, ensuring you come across as confident and professional.
