Job Description: To provide compliance support and guidance to internal and external customers in all areas of regulatory and legislative (non legal) requirements.
Key responsibilities include:
• Assist with the management of the team to enable to provide advice and support (written and verbal) on the full spectrum of requirements in relation to FCA and ancillary regulation and legislation
• Assist with the management of the team to enable them to advise and support (written and verbal) on the full spectrum of requirements in relation to regulations consistent with investment, mortgage and non-investment business
• Maintain competency in order to effectively assess and sign off all client marketing and communications
• Effectively conduct telephone appointments in relation to RMAR, TCF, Disclosure requirements and provide training when appropriate.
• Manage own and teams’ workflows to ensure minimum business standards and timescales are maintained
• To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.
• To support management in the assessment, coaching, training and development of the team members to ensure they achieve service
• Awareness of operational and regulatory risk, which may impact on the business. Responsible for reporting to their line manager any risk which may impact on the business
• Diploma in Financial Planning qualified (or working towards)
• Strong relevant financial services industry experience
• Experience in investments, mortgage and protection (general insurance)
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.