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


Benefits:



* 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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