Field Compliance Manager - CeMAP
-
Location
Leeds
-
Discipline:
-
Job type:
-
Salary:
£34,000 plus car allowance
-
Consultant:
#
-
Email:
mayres@merje.com
-
Job ref:
MA/14627
-
Published:
over 2 years ago
Financial Services firm are looking to hire a Field Compliance Manager to be responsible for managing a number of appointed representatives within a geographical area across Yorkshire. The position is a home based role with travel 2/3 days per week.
Key Responsibilities:
- Ensure a consistent approach to compliance and regulatory policy
- Work closely with Advice Quality, ensure that all checks are followed up and any issues are dealt with promptly
- Use observation skills to identify areas of concern or development need of Advisors
- Effectively supervise Advisors within your span of control
- Ensure records are kept updated with all relevant and necessary information
- Proactively contribute to the wider compliance teams to improve processes and procedures
- Complete regular reviews of AR firms to ensure effectiveness of controls within the business, providing a report with a summary of findings and action plan to the relevant Approved Person
- Effectively handle any regulatory or compliance queries received from AR firms & Advisors, raising any action points as necessary
- Regular updates & completion of relevant back office system
- Identify and manage risk within the business (to include quality of client files, advice quality, advice process, new advisers moving through scheme, operating procedures etc.)
- Audit of new ARs when required ensuring that all activity & documentation meet the necessary standard
Key Requirements-
- CeMAP qualification
- Experience working with mortgage advisers
- Ability to communicate at all levels with professionalism and integrity
- Motivational qualities to motivate the Advisors to strive for success
- Effective time management of self to drive efficiencies
- Able to demonstrate building effective relationships with key stakeholders
- Able to demonstrate good problem-solving skills, plan effective contingencies and solutions