Know how good financial advice should look? Maybe you've been an adviser. Maybe you check files. Maybe you're a paraplanner who understands the advice process inside out. Either way, if you know what good advice looks like, and more importantly what can go wrong, this could be a very good next step.
You'll join a small, experienced Compliance Monitoring team within a national financial services business, carrying out 2nd line oversight across the advice operation.
For someone currently working in advice or checking files, it's a chance to broaden your experience, move into genuine 2nd line compliance monitoring and develop beyond individual cases.
You'll get exposure to controls, regulation, adviser standards and wider business risk, while working directly with an experienced Compliance Monitoring Manager.
PACKAGE
The salary is TO£45,000, depending on experience, alongside a strong benefits package including:
- 25 days' holiday, increasing to 28 with service
- Employer pension contribution, increasing with length of service
- 2 x salary life assurance
- 24/7 GP and digital healthcare for you and your household
- Medicash health cash plan
- Employee Assistance Programme
- Enhanced maternity, paternity and adoption leave
- Paid sickness leave
- Specsavers eyecare
- Company and team events
- Free on-site parking
THE JOB
You'll be reviewing how advice is being delivered, testing controls and identifying where processes, behaviours or outcomes need improving.
That means using your understanding of the advice journey, regulation and suitability to look beyond individual files and help the business maintain strong standards.
You'll work directly with the Compliance Monitoring Manager as part of a team of four. The existing team includes people from both adviser and compliance monitoring backgrounds, so they're open-minded about where you've come from.
HERE'S WHAT YOU'LL NEED
The key thing is that you understand the regulated advice process.
You might currently be:
- a Financial Adviser
- a Mortgage Adviser
- a File Checker
- an Advice Quality Specialist
- a Compliance Monitoring Officer
- a Paraplanner with strong regulatory knowledge
You don't necessarily need previous 2nd line compliance experience. If you've worked close enough to advice to understand suitability, documentation, adviser responsibilities and where risks can emerge, they're happy to consider you.
What won't work is a background focused mainly on AML, KYC or financial crime without exposure to regulated advice.
#J-18808-Ljbffr
Compliance Monitoring Officer in Newcastle upon Tyne employer: Exchange Street Financial Services Ltd
Our client offers a dynamic and supportive work environment in Glasgow, where employees are encouraged to thrive through continuous professional development and a strong emphasis on teamwork. With a focus on outstanding customer service and building meaningful relationships, this role provides an excellent opportunity for those looking to make a real impact in the insurance industry while enjoying the benefits of hybrid working. The company values its employees, fostering a culture of collaboration and innovation that makes it an attractive place for career growth.
Contact Details:
Exchange Street Financial Services Ltd Recruitment Team
