Wealth Department Compliance Officer

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
• Be able to present at Risk Management Committee
• 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
• Employee Perks schemes, (wellbeing support, discounted shopping, Reward & Recognition scheme)
• 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. Our Berwick upon Tweed office is situated in the town centre and is a modern state-of-the-art premises, which provides a pleasant working environment and equips us to meet the changing needs of our staff and clients in a progressive manner.

Three Counties Limited is a well-established firm of Chartered Independent Financial Advisers. Although owned & supported by the Chartered Accountancy business of Greaves West & Ayre we are independent. Our office is situated within the beautiful Lambton Park Estate surrounded by the countryside, making it a beautiful place to work. Just on the outskirts of Chester-Le-Street, County Durham, our modern office provides a pleasant working environment and is within proximity to local amenities.

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.

We value our staff and are committed to their training and development. This is backed up by the fact that we receive long levels of service; many of our people have been with us for decades. Continuity of personnel is important to us, as it is essential in building and maintaining lasting relationships with our clients.

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 Tweed TD15 1DJ
Email: arb@gwayre.co.uk

Closing Date: 28 February 2025

 

Wealth Administrator

Wealth Administrator – Exciting Opportunity for Graduates, Trainees, or School Leavers

Location: Bournmoor, County Durham

Job Type: Full time, 35 hours per week. Permanent

Are you a graduate, trainee, or school leaver looking to kickstart a professional career? Do you have strong administrative and organisational skills? If so, this is your chance to join a dynamic Wealth Management team and gain valuable experience while working towards industry-recognised qualifications.

About the Role

As a Wealth Administrator, you’ll be at the heart of our operations, supporting our Wealth Management team with essential administrative tasks. This role offers an excellent foundation for a rewarding career in Wealth Management, with responsibilities that include:

• Administrative Support: Using the XPlan back-office system to process client transactions efficiently and maintain high standards of accuracy.
• Compliance and Documentation: Gaining insight into investment, insurance, and pension processes while ensuring all documentation complies with regulatory requirements.
• Task Management: Working closely with Financial Advisers and Directors to complete tasks and process transactions.
• Secretarial Duties: Assisting with duties such as minute-taking and managing correspondence.
• Client and Provider Liaison: Acting as a professional point of contact for clients, handling queries, and coordinating with providers to maintain excellent service.
• Information Management: Uploading and managing information via providers’ portals to ensure smooth operations.

You’ll receive ongoing mentoring and support, with the opportunity to work towards the Chartered Institute of Securities and Investments L3 Investment Operations Certificate (IOC). This qualification, paired with practical experience, will help you build a successful career in the field.

About You

This role is perfect for individuals at the start of their professional journey, including graduates, school leavers, and trainees eager to develop their skills. We’re looking for someone who is:

• Highly organised, with excellent time-management skills.
• Detail-oriented, with a strong focus on accuracy.
• A confident communicator and a great team player.
• Positive, proactive, and professional in their approach.
• Proficient in Microsoft Office applications.

While previous experience in a financial or administrative role is an advantage, full training will be provided. A desire to learn and work towards qualifications within a structured timeline is essential.

This is your chance to step into a professional role, develop valuable skills, and build a career in Wealth Management.

Ready to apply? Don’t miss this exciting opportunity – we’d love to hear from you!

Who we are:

Three Counties Limited is a well-established firm of Chartered Independent Financial Advisers. Although owned & supported by the Chartered Accountancy business of Greaves West & Ayre we are independent.

Our office is situated within the beautiful Lambton Park Estate surrounded by the countryside, making it a beautiful place to work. Just on the outskirts of Chester-Le-Street, County Durham, our modern office provides a pleasant working environment and is within proximity to local amenities.

At Three Counties Limited we value our staff; we are committed to their training and development. This is demonstrated by the fact that we receive long levels of service. Continuity of personnel is important to us, as it is essential in building and maintaining lasting relationships with our clients.

Our reputation has been founded on traditional professional values for over 30 years. We value our team and encourage and support our employees to progress to their full potential. There is a friendly atmosphere in our office, with many social events organised throughout the year, we like to encourage a good work-life balance.

Your salary will be competitive, based on experience and qualifications, with pension scheme, death in service and other benefits.

Come and work with us and let us help you to achieve the lifestyle and career ambitions you are looking for.

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:

Phil Groom , HR Greaves West & Ayre (Our sister organisation) 17 Walkergate, Berwick upon Tweed TD15 1DJ Email: p.groom@gwayre.co.uk