The Head of Compliance Helpdesk will be responsible for co-ordinating and managing the day-to-day activities of our Compliance Helpdesk in order to meet customer service standards. This will involve evaluation of team performance, reporting to the Compliance Strategy Team and leading the team by example.
Key responsibilities include:
• To supervise the team’s response to compliance questions on a wide range of compliance topics from investment, insurance and mortgage intermediary firms
• To oversee the provision of Helpdesk compliance support to company clients by email and telephone and occasionally via face to face meetings
• To undertake team quality assessments and complete effective performance management activities including One to One meetings and annual appraisals
• To remain up to date with UK financial services regulatory requirements
• To manage the team’s financial promotion review and complaint handling services
• To manage the team’s FCA Authorisation application service.
• To create and analyse management information in order to facilitate regular reporting to the Compliance Strategy Team
• To liaise with other business teams as required to improve customer outcomes
• A minimum of 10 years’ experience in financial services with recent experience in a management or supervisory role
• Broad IFA compliance knowledge relevant to the key tasks of the role
• To be qualified to Regulated Diploma standard (QCF Level 4)
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.