Part-Time - Compliance / T&C Assistant - Newcastle Upon Tyne.

Recruiter
Peritus Private Finance Limited
Location
Newcastle Upon Tyne
Salary
22500.00 - 25000.00 GBP Annual
Posted
24 May 2021
Closes
21 Jun 2021
Contract Type
Permanent
Hours
Full Time

Peritus Private Finance are looking for a part-time Compliance / T&C Assistant to join their successful and expanding team. The suitable candidate will be required to work closely and support the Compliance Director to assist with effective oversight and monitoring of the firm's Advisers and Appointed Representatives. The role will involve carrying out the following key tasks.

Key Responsibilities:

  • Initial Recruitment Checks.
  • Collating MI and production of KPI Reviews.
  • Assist with ongoing monitoring under SM&CR.
  • Review of Financial Promotions.
  • Assist with AML checks and analysis
  • Review of Mortgage and Protection files.
  • Dealing with compliance queries from advisers.
  • Establishing and maintaining robust systems and controls.
  • Report any identified issues to the Compliance Director.

Candidates should offer the following

  • Ideally a good understanding of the FCA's expectations surrounding systems and controls within a firm, senior managers and certification regime, training and competence.
  • Experience of a quality or compliance related role.
  • Ideally hold a suitable Mortgage and/or Investment qualification.
  • Excellent IT knowledge, strong communication skills, attention to detail and be organised.
  • Grade C/Level 4 or above in English and Mathematics
  • Proficient with Word, Excel, Outlook.

In return, you will receive a salary of GBP22,500-GBP25,000 pro-rata dependent on experience. The role is 3 full days between 9am and 5pm however there is some flexibility on the number of hours and days. The role is office based in Newcastle.

Additional benefits include:

  • 22 days holiday, plus bank holidays.
  • Sick Pay
  • Death in Service (after qualifying period)
  • Opportunity for career development
  • Potential for Full time in future
  • Study support
  • Small friendly office with excellent transport links.

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