We are looking to recruit a Wealth Department Compliance Officer to work at our office in Berwick upon Tweed or alternatively, our sister office, Three Counties Limited. Bournmoor, County Durham. Hybrid work possible, however the ability to travel between the two offices is a must.
Job Type: Full time, 37 hours per week. Permanent
We will consider part time hours/job shares for this role.
We are looking for a Chartered Insurance Institute L4 Diploma qualified individual, who has a financial service background, and enjoys mentoring and developing individuals. We require a critical thinker, good computer, teamwork, numeracy, and literacy skills, along with accuracy, and diligence.
The Role:
As a Compliance Officer within our businesses, you will have the following responsibilities:
* You will work with our Compliance and T&C Managers gathering information for FCA reporting
* Assist our Financial Advisers with internal compliance, conducting internal file reviews and thematic reviews as required
* Consult with colleagues on their needs and be able to deal with their queries supporting the Financial Adviser and Paraplanner Teams in providing a quality service
* Prepare files and paperwork for external audit and third-party checks
* Document internal compliance and departmental committee meetings
* Receive information to maintain Compliance logs and Registers
* Ensure Money Laundering responsibilities are filled
* Assist with SM&CR requirements
* Assist with signing off Financial Promotions
* Assist with creation of new policies and review existing policies and procedures
* Adhere to the Code of Conduct policy and Consumer Duty
* Consult with providers and clients to ensure that the service needs are being met professionally, timeously, and accurately
You will receive ongoing mentoring and, if not L6 qualified, you will have the opportunity to study towards Chartered Insurance Institute L6 Chartered Diploma qualification, ensuring you gain both the professional and practical skills to deliver quality client support throughout your career.
The Person:
We would prefer someone with experience in Financial Services, able to operate within a busy transaction processing environment. Microsoft Office skills are essential and XPlan knowledge would be of great benefit.
If you have meticulous attention to detail, good team and communication skills, confidence, approachability, strong time management skills, and are prepared to work hard, we would love to hear from you.
Package:
* Your salary is competitive with an annual review
* 32 days annual leave (includes public holidays). Increases to 35 days with long service plus a TOIL and core working flexibility policy
* Life Cover / Death in Service equivalent to 3 times gross annual salary
* Private Healthcare Insurance cover available should you wish to purchase this
* Social activities
* Learning opportunities such as professional qualifications/ external training
We cover the costs of any study package, the first sitting of each exam and travel expenses.
Who we are:
Greaves West & Ayre is a long-established firm of Chartered Accountants and Independent Financial Advisers based in Berwick-upon-Tweed and Haddington. We have grown significantly over recent years and are now 13 Partners and around 130 staff. That makes us the largest Professional Services firm between Edinburgh and Newcastle and one of the biggest employers in the area. We offer a full range of accountancy services and have our own Audit and Computer Services divisions. Our size means that we can offer you a breadth and variety of work across a wide range of clients and industries. This balance is more difficult to achieve in either very small or very large organisations.
There is a friendly atmosphere in both of our offices, many social events are organised throughout the year, and we like to encourage a good work-life balance.
At GWA and Three Counties Limited, we consider ourselves a family. Our reputation has been founded on traditional professional values for over 100 years. We value our team and encourage and support our employees to progress to their full potential.
Come and work with us and let us help you to achieve the lifestyle and career ambitions you are looking for. We will consider full and part-time applicants/job shares for this role.
If you feel you have the skills and experience to be successful within this role, we would love to hear from you.
To apply, please send your CV and a covering letter to:
Angela Bruce
Greaves West & Ayre
17 Walkergate, Berwick upon TweedTD15 1DJ
Email: arb@gwayre.co.uk
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