Field Compliance Manager - CeMAP

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    over 1 year ago

Well known Financial Services firm are looking to hire a Field Compliance Manager to be responsible for managing a number of appointed representatives / mortgage advisors within a geographical area across Gloucester and Bristol. 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 / appointed representatives
  • 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