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