Regional Compliance Manager
Following the growth in adviser numbers in HL Partnership, we are looking to grow the Regional Compliance Team to continue to provide our firms with high-quality Face to Face compliance support.
Job Title: Regional Compliance Manager
Location: Swindon Area/Preston Area
Salary: £30,000- £40,000/ per year + Benefits + Car Allowance (Listed below)
Job Type: Full-time
Founded in 2001, HLP was one of the first networks dedicated to the mortgage and protection adviser.
With offices in Leicester, Alcester, and Chichester, HLP is now the largest privately-owned network in the UK, with well over 700 advisers and just under 400 firms.
Our goal is to continue to be the best home for mortgage advisers, protection specialists, equity release experts and general insurance professionals, whatever their size or location.
These additional roles in the team will be the primary point of contact for Appointed Representatives in allocated regions, managing a risk-based monitoring program to ensure compliance with network standards and regulatory requirements.
The role is designed to ensure Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes.
Responsibilities will include:
* Conduct field visits which will include risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
* Act as a supervisor within the Training & Competence scheme and act as an ambassador for the use of relevant IT programs and systems
* Build strong relationships with key stakeholders, championing good customer outcomes.
* Provide advice and guidance to network members in response to enquiries received
* Identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place
* Ensure appropriate standards and procedures are followed by authorised appointed representatives
* Instruct, the coach, and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales and are achievable
* To assist and guide the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
* Minimum 2 years of experience in a similar role within the financial services sector
* A sound background in compliance monitoring, risk management and reporting processes
* Knowledge of systems of control and ability to follow clearly defined procedures
* Experience in working under pressure, prioritising, and working to tight deadlines
* CeMAP or equivalent professional financial services qualification as a minimum
* CeRER desirable
* A full UK driving licence is essential
* Company Sick Pay
* 25 days Holiday with the option to buy more
To apply for our vacancy for a Regional Compliance Manager, please click on Apply and upload a copy of your CV.
We look forward to hearing from you.
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