4 days ago
Our client is a successful financial services organisation looking for a field based Compliance Consultant 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.
- 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
- 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.
- You will be detail-oriented, pragmatic and work with a high degree of common sense.
- Good communication and report writing skills.