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MI Search Ltd
,
Leeds, West Yorkshire
Compliance Officer, Leeds
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Job Type: Full-time |
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Salary: £27,000 per annum |
Overview
This highly respected national stockbroking firm is currently recruiting for a compliance officer to join its established and experienced compliance team based in Leeds. In this role you will be responsible for ensuring that the business adheres to their robust compliance requirements. You will be involved in monitoring business risk, reviewing financial promotions, assessing and dealing with customer complaints, reviewing regulatory risks and assisting in promoting and maintaining the TCF culture. Ideally you will have strong investment knowledge including equities and fixed income securities, experience of dealing with complaints, monitoring, T&C and hold level 4 investment advice diploma or equivalent level 4 qualification (e.g. CII). Basic salary to £32,000, benefits and discretionary bonus.