c.£40,000 + Benefits
4 months ago
To contribute to the work of the Risk & Compliance Department in delivering SGL’s advice standards and ensure that FCA expectations are met across authorised subsidiary businesses. Work with financial planners, paraplanners and colleagues within the compliance function to ensure financial planners provide the highest possible standards of advice and service to clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures. This role is central to the delivery of positive outcomes to clients.
Key responsibilities include:
- Undertake post sale file reviews, pre-sale report reviews, review pre-approval requests and assist with thematic reviews and due diligence projects.
- Contribute to compliance projects as and when required
- Identify planner training needs from file review findings.
- Promote the Group’s compliance culture, policies and procedures
- Provide the Business Quality Manager with regular reports on activity
- Provide the Regional Compliance and Regional Development teams with reports on planners as required
- Attend compliance team meetings
- Attend the Harrogate DB Centre of Excellence when required
- Focussed work on DB pre and post-sale file reviews as directed by the BQ Manager.
- Focussed work on DB for Due Diligence checks
- Contribute to the development and implementation of Group Compliance Policy as required
- Develop positive working relationships based on professional standards, mutual respect and empathy, with key internal stakeholders, e.g. planners, paraplanners, admin, sales support
- Capture and notify the Business Quality Manager of any risks to the business via agreed protocols
- Maintain an awareness of the company’s strategy and propositions
- Work closely with Risk & Compliance colleagues to share ideas and best practice
- Participate in appropriate company and departmental training, competence and development initiatives
- Ensure the highest standards of professionalism are maintained
- Any reasonable task requested by a member of the Executive Management Team
- QCF Level 4 qualification with desire/ambition to attain Chartered status
- Appropriate Pension Specialist Qualification (eg G60, AF3 or AF7)
- Technical Knowledge of Tax Driven Products (e.g. EIS/VCT/BPR) and experience of checking these areas