Financial Services Technical Compliance Manager sought to join an expanding, well established Financial Advisory business, providing a Portfolio Management Service, based in Newcastle upon Tyne - north side.
Checking Advice Reports done by the paraplanning team, - for compliance, advice and clarity, prior to passing to Advisors.
To check client's use of allowances, income and savings for retirements / meeting goals and objectives.
Assisting with more complex reports on Pension and Investment planning
The ideal candidate:
Current knowledge of Pensions and Investments Advice reports.
Good communication skills
Good knowledge on Excel
Keen to use your experience to improve our processes in a compliant but advice driven way.
Help to develop and provide technical knowledge within the business.
Financial Services Qualifications essential - Diploma or working towards