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Compliance Business Assessor

SectorsAdministration, Administration Manager, Bancassurance, Compliance, Employee Benefits, General Management, Group Risk, IFA/Independent Adviser, Investment Adviser, Other Financial Services, Paraplanner, Sales, Sales Support, Tied & Multi Sales, Wealth Manager
Salaryup to £30,000 per annum
LocationsCounty Durham, North East, Northumberland, Tyne And Wear, UK
Contract TypePermanent


Compliance Business Assessor


Salary up to £30,000pa

My client is a large IFA practice and they require a Business Assessor to support the Compliance Manager with on-going projects, providing advice and guidance to the business via bespoke compliance support.

Ideally candidates will have Level 4 qualification and have a broad knowledge of financial service products. Ideally someone from an IFA, Multi Tied, or bancassurance background or someone in a technical role/ paraplanner (financial services) wanting to move into a compliance position.

Job Description:

  • Managing work-flow

  • Checking all categories of cases, recording results on the system

  • Providing appropriate feedback and support to individual advisers

  • Strong organisational skills

  • Ability to work on multiple tasks and projects

  • Maintain the suite of compliance documents

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