Compliance Officer

We have an exciting opportunity for a Compliance Review Officer to join our team.

Job title: Compliance Officer

Location: Leicester LE19 1RJ

Salary: £18,000 - £25,000 per annum + Benefits (Listed below)

Department / Section: Compliance

Reporting to: Internal Compliance Manager

Main purposes of job

* Assessment of client files to ensure compliance with regulations and company standards

* Ensuring our Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes

* To provide compliant guidance and support to staff and Appointed Representatives

* To instruct and coach members in order to improve risk assessment ratings

* Accurately record any findings and corrective activity

Key Tasks

* Monitor and maintain FCA guidelines and regulatory obligations.

* Ensure Network standards are adhered to by Appointed Representatives and their Advisers, as per our internal sales processes and procedures.

* Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.

* Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.

* Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.

* Build strong relationships with key stakeholder, championing good customer outcomes.

* Provide appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.

* Report wilful and uncorrected deficient advice and/or documentation and agree appropriate remedial action.

* To maintain ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager

Skills/ Qualifications

* Able to demonstrate a suitable level of industry knowledge and experience to conduct the role

* A good grounding and understanding of working within a Regulatory environment

* Demonstrable supervisory skills

* CeMAP / equivalent professional financial services qualification or willingness to work towards this.

* Excellent verbal and written communication skills

* The ability to analyse information with a view to making informed decisions

* Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary

* Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties

* Good team player, but with an ability to work under own initiative

* Good computer skills including Microsoft applications

Experience Required

* Minimum 2 years of experience in a similar role within the financial services sector

* Knowledge of systems of control and able to follow clearly defined procedures

* Experience of working under pressure, prioritising and working to tight deadlines

* Competent on Microsoft office suite i.e.

excel, word etc.

* Excellent verbal and written communication skills

Personal Qualities

* Highly self-motivated and with strong personal discipline to meet key objectives

* Confident and assured manner when discussing regulatory matters, whilst maintaining an informative and consultative style

* A real desire to provide support and to assist firms to stay safe in the business environment


* Additional holiday, Company sick pay

Next Steps:

To apply for our vacancy for a Compliance Review Officer, please click on Apply and upload a copy of your CV.

We look forward to hearing from you.

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