At a Glance
- Tasks: Review pensions and investment cases, providing feedback to advisers on their recommendations.
- Company: A dynamic firm with a strong focus on career development and internal promotions.
- Benefits: Competitive salary, hybrid working, generous holiday, and health benefits.
- Other info: No daily targets; enjoy a collaborative environment with great career progression.
- Why this job: Join a supportive team where you can grow your career and make a real impact.
- Qualifications: R01-R05 or equivalent, strong pensions knowledge, and excellent communication skills.
The predicted salary is between 41850 - 51150 £ per year.
Most Advice Quality and Compliance jobs seem to come with the same catch.
Please read the following job description thoroughly to ensure you are the right fit for this role before applying.
You must already have experience.
This one doesn't.
If you've got R01-R05 or equivalent, a strong pensions and investments background and the confidence to challenge advisers when something doesn't look right, they'll train you.
And there's proper evidence that people can build a career here.
The Head of Compliance & Risk, Head of Advice Quality and Head of Advice all joined the business in more junior roles and became Heads of within 10 years.
Not bad, huh?
THE JOB
You'll join the Advice Quality team and focus mainly on pensions and investment cases.
Most of the work is pre-sale file checking, reviewing adviser recommendations to make sure the advice is suitable, properly evidenced and meets the required standards.
Where something needs changing, you'll provide clear feedback to the adviser and explain what needs to be done.
It isn't just sitting behind a screen checking files all day either.
You'll speak directly with advisers, answer technical queries, discuss more unusual cases and help them understand what good advice and good evidence should look like.
There are no individual daily file-checking targets. The team works to an overall 48-hour turnaround SLA.
- WHAT YOU'LL NEED
- R01-R05 or equivalent
- Good technical knowledge of pensions and investments
- Strong attention to detail
- Confidence speaking with advisers and challenging something when it doesn't look right
- The ability to explain technical points clearly and constructively
Previous paraplanning, technical support, compliance or file checking experience would all be relevant.
But previous file checking experience is not essential.
PACKAGE
- Salary up to £42,500
- Overtime available
- Hybrid working - Office days Monday, Thursday and Friday
- 25 days' holiday, increasing to 28 days with service.
- Employer pension contribution starting at 3% and increasing to 5% with service.
- 2 x salary life assurance. xgikmsk
- 24/7 GP and digital healthcare for you and your household.
- Medicash health cash plan covering things like dental...
Compliance File Reviewer in Newcastle upon Tyne employer: Exchange Street Claims & Financial Services Careers
As a leading player in the claims handling sector, our company offers a dynamic and supportive work environment that prioritises employee development and well-being. With a strong focus on exceptional customer service and compliance, we provide our team with comprehensive training and growth opportunities, all while enjoying the flexibility of remote work from the vibrant city of Leeds. Join us to be part of a collaborative culture that values your expertise and encourages professional advancement.
Contact Details:
Exchange Street Claims & Financial Services Careers Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance File Reviewer in Newcastle upon Tyne
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Exchange Street Claims & Financial Services Careers looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance File Reviewer in Newcastle upon Tyne
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Exchange Street Claims & Financial Services Careers. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Exchange Street Claims & Financial Services Careers
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Exchange Street Claims & Financial Services Careers’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
