Job Description: To work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.
Key responsibilities include:
•Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business
•Represent the group at all times in a professional manner with external and internal clients
•Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management
•Provide consultative support to Client / Member Firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management
•Provide support to clients / members during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits
•Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
•Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy
•Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans
•Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required
The Person:
•Previous experience working in a regulatory / compliance environment
•Knowledge of IFA markets (including provider / lenders)
•Broad technical knowledge across all product areas
•Minimum Level 4 qualification essential and mortgage qualification desirable
•G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification.