Job Description: This is an exciting opportunity to join a team of compliance professionals who will form an in depth and solid relationship with our AR Firm Principals, understanding their business and working with them to ensure their firm and the network remains safe
You will have the opportunity to apply your experience in working with AR Firms to coach and support them and develop unique action plans, bespoke to each individual firm within your own panel of up to 40 AR firms.
The role will involve:
•Deliver regulatory oversight to appointed representative firms and registered Individuals and ensure Treating Customers Fairly principles are embedded.
•The role is a compliance function that strives to maintain professional safety in the business, via successful discharge of supervisory responsibilities.
•The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.
•You will deliver Bespoke inspection visits/ AR Principal interactions and enable and encourage AR Principals to effectively govern their AR Firms & Advisers
•Explain and enforce the oversight contract with Appointed Representatives and Registered Individuals detailing the requirements, methods of assessment used and timescales to be applied.
•You will review AR Bespoke Characteristics and behaviours identified by risk assessment as requiring supervision, educating Appointed Representatives and Registered Individuals in respect of their compliance requirements, “Treating Customers Fairly” responsibilities and achieving Good Customer Outcomes.
•The role will also see you manage areas of risk to within Network appetite and identify and investigate areas of risk through Supervisory activity as well as review and assess risk assessment results and risk analysis data to identify AR firm and adviser risk and apply appropriate controls.
Key Requirements:
•You will be experienced in field supervision or compliance monitoring (ideally around 3-5 years minimum) and a competent assessor of adviser competence who can deliver feedback
•Experience of Network/National and IFA/restricted advice models
•Qualified to QCF Level 4 or equivalent