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Newcastle Upon Tyne
Director of compliance and information security in gambling
Wealth Compliance Analyst or Supervisor

Wealth Compliance Analyst or Supervisor

Meraki Talent Limited

Posted 9 days ago, valid for 10 days

Newcastle Upon Tyne, Northumberland NE19 2BG, England

Full Time

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Sonic Summary

Meraki Talent’s Financial Services client is seeking a Wealth Compliance Analyst or Supervisor to join their team in Newcastle.
The role offers a chance to contribute significantly to the growth and development of the compliance function, with clear opportunities for progression.
Key responsibilities include ensuring client files comply with regulatory standards and providing compliance support to financial advisors.
Candidates should have strong experience in compliance or audit within the financial services sector and hold a Level 4 qualification such as DipFA or DipPFS.
The position offers a competitive salary, and applicants should ideally have several years of relevant experience in compliance.

Wealth Compliance Analyst or Supervisor

Newcastle

Permanent

Meraki Talent’s Financial Services client are looking for a Wealth Compliance Analyst or Supervisor

to join their team in Newcastle. This is a fantastic opportunity to join an expanding team and for this individual to play a large part in the function’s growth and development over the coming years with a tangible progression path.

Responsibilities of the Wealth Compliance Analyst or Supervisor:

-Ensure client files comply with policies and regulatory standards

-Provide support to financial advisors regarding their training, competency and compliance

-Assist with the training for new hires with regards to compliance processes and standards

-Provide compliance support to the business and the advisors

Background of the Wealth Compliance Analyst or Supervisor:

-Strong experience in compliance or audit within the financial services sector

-Level 4 qualified DipFA, DipPFS, ect…..

-Strong stakeholder management and business partnering skills

-Exposure to UK regulations and products

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