This is an opportunity to join a well established financial services company based in Shrewsbury with a strong investment and general insurance based practice. They are a Lloyds’ coverholder.
This is a fantastic opportunity for an individual who is hard working, professional and wants to become an integral part of a growing company that will provide you with opportunities for career development, training and support. You will report directly to their Compliance & Legal Director and work closely with colleagues across the organisation. They promise you - no two days will ever be the same again!
The role encompasses training, monitoring and compliance administration functions. You will be required to:
- Provide professional Compliance guidance and assistance to all staff in the group
- Assist in the development and delivery of the Compliance Monitoring Programme
- Conduct compliance audits in line with the Compliance Monitoring Programme, preparing detailed reports on findings and making recommendations for remedial action.
- Work proactively with Sales Management to resolve field compliance operational issues and queries
- Deliver compliance training, both on a 1:1 basis and within group sessions
- Monitor quality MI to assess and identify potential trends in relation to conduct or consumer risks
- Review client feedback and deal with complaints raised by clients in accordance with the FCA Complaints
Handling rules.
- Review and approve financial promotions material in accordance with FCA guidelines
- Liaise with the advisers regarding file reviews and addressing any findings arising from them.
- Develop effective training programs on compliance matters and products including appropriate training for new and existing advisers.
- Present compliance issues at our in-house meetings.
- Use of Connect and GABRIEL
- Produce accurate bi-annual RMAR data
- Apply for and secure professional indemnity insurance
Key Requirements-
- QCF Level 4 qualification
- A good technical knowledge across all means of financial planning.
- Good working knowledge on principle based, FCA regulation and handbooks
- Sound working knowledge of AML and DPA legislation and regulation
- Strong organisational skills and attention to detail are essential in the role given the variety of responsibilities
Skills
- Investigative skills and ability to identify root causes
- Ability to prioritise own work load essential
- Training delivery skills
- Attention to detail
- Ability to communicate at all levels, with authority, confidence and credibility
- Good written communication skills
Salary: £25,000- £28,000 + 2.5% Pension Contribution + Loads of Corporate Perks
Next step:
So, if you think this job is the next step in your career, please apply.
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