JT Recruit
Date Posted
May 12th 2022
Job ID
Salary & Package
£18 - £23k
E-mail Enquiries

Full Job Description

Compliance Review Officer

My client is a well established firm based in Leicester

They are now seeking a compliance review officer to join their team on a full time, permanent basis

Main purposes of job

  • Assessment of client files to ensure compliance with regulations and company standards
  • Ensuring Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering the right customer outcomes
  • To provide compliant guidance and support to staff and Appointed Representatives
  • To instruct and coach members in order to improve risk assessment ratings
  • Accurately record any findings and corrective activity

Key Tasks

  • Monitor and maintain FCA guidelines and regulatory obligations.
  • Ensure standards are adhered to by Appointed Representatives and their Advisers, as per our internal sales processes and procedures manuals
  • Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system. (As and when required).
  • Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers by means of a designated remote computer system.
  • Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
  • Provide appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
  • Report wilful and uncorrected deficient advice and/or documentation to the Internal Compliance Manager and agree appropriate remedial action.
  • To maintain ongoing competency through development of personal training plans in conjunction with Internal Compliance Manager

Experience Required:

  • CeMAP/equivalent professional financial services qualification or willingness to work towards this.
  • Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
  • A good grounding and understanding of working within a Regulatory environment
  • Demonstrable supervisory skills
  • Excellent verbal and written communication skills
  • The ability to analyse information with a view to making informed decisions
  • Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
  • Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
  • Good team player, but with a definite ability to work under own initiative
  • Good computer skills including Microsoft applications
  • Minimum 2 years of experience in a similar role within the financial services sector
  • Knowledge of systems of control and able to follow clearly defined procedures
  • Experience of working under pressure, prioritising and working to tight deadlines
  • Competent on Microsoft office suite i.e. excel, word etc.
  • Excellent verbal and written communication skills

Salary: £18,000 - £23,000

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