Full Job Description

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