c.£32,500 - £38,000 + benefits
12 months ago
Our client is a well-respected financial services organisation looking for an individual who will report to the Head of Compliance and Risk and undertake this broad yet rewarding role working as part of a small but dedicated team.
- To maintain and embed the groups T&C scheme taking responsibility for ensuring that all aspects of the scheme are adhered to
- To record and monitor new business submitted by Appointed Representative firms
- To be responsible for the recording and checking of all Financial promotions and for the handling and monitoring of complaints.
- To continuously review the requirements of the T&C scheme and proactively identify opportunities to develop it further
- To conduct T&C visits across all product areas, determining the suitability of the advice given and highlighting areas for development
- To act as a referral point for complex files or sensitive issues
- To identify common themes and risks across the business in terms of development areas or knowledge gaps
- To facilitate and deliver T&C training for Appointed Representatives and staff
- To educate the client facing staff in the business on the benefits of a robust T&C Scheme
- To develop strong working relationships with relevant stakeholders across the business and any relevant third parties
- To carry out any other duties related to T&C as may reasonably be required
- To carry out due diligence, compliance checks and for training etc for members
- To have delegated authority to ensure that the Money Laundering Regulations are complied with and that office staff and advisers receive appropriate training at appropriate intervals.
- To monitor all promotional material as defined in the FCA rules and to be responsible for the maintenance and revision as required of the Disclosure documents of the Appointed Representative Companies.
- To administer and record and handle all complaints.
- To assist in the running of induction courses and other training courses
- To monitor and report where necessary changes made to the FCA handbook or guidance given by the FCA
- To review and update the Compliance manual as required
- To identify any material risks that occurs in the compliance function. These should be entered onto the Risk Database and appropriately monitored and reviewed
- An experienced financial services professional
- Previous T&C experience
- Experience with working with IFAs
- The role will be a mixture of office and field based work
- CII / PFS qualification, ideally QCA Level 4 Diploma– Essential
- Certificate in Mortgage Advice or equivalent – Essential
- Supervisory qualifications such as H15, J07 or AF6 are desirable
- Excellent, proven interpersonal, verbal and written communication skills
Salary is entirely commensurate with experience but will reflect the significance of the role