Job Description

About The Right DA Club

The Right DA Club is an independent Mortgage and Protection club for Directly Authorised Advisers within the UK. We create tailored packages designed to help advisers grow their businesses. Our services include FCA application assistance, compliance support, onboarding help, regulatory reporting, and access to online learning and CPD resources.

Due to our continued growth, we are recruiting for a part time Compliance Manager to look after our Directly Authorised advisers.

Benefits of a Compliance Manager (Directly Authorised)

Here at The Right DA Club, we believe a happy work force is a productive work force. Our company benefits include:

A health & dental cash plan Death in Service Company sick pay A pension scheme A staff referral scheme An adviser referral scheme A friendly, motivated team and a supportive working environment Office closure over Christmas Open and communicative relationship with management, with regular 1:1 sessions

Requirements of a Compliance Manager (Directly Authorised)

This is a remote based role, with occasional travel. Minimum 2 years' experience in a similar role within the financial services sector. Experience working with Directly Authorised Advisers is required. Excellent verbal and written communication skills. Ability to work under pressure, prioritise and work to tight deadlines. Coaching and mentoring and people management skills. The ability to analyse information with a view to making informed decisions. Competent on Microsoft Office suite i.e. Excel, Word etc. Full CeMAP or equivalent. The successful candidate must have a strong understanding of Mortgages, General Insurance, Pure Protection and Equity Release.

Desirable, but not required:

Equity release qualification ER1/CERER or equivalent. IF7 or equivalent. Strong understanding of Private Medical Insurance.

Responsibilities of a Compliance Manager (Directly Authorised)

To maintain a primary point of contact for Directly Authorised advisers and to manage the T&C program to ensure compliance meets Company standards. To ensure compliance with Company and regulators compliance procedures. To identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place. Instruct, coach and monitor individuals, producing reports and individual training/ development plans ensuring all outstanding actions are completed within agreed timescales. Identifying areas where advisers can improve their standards and associated risk ratings. Accurately record any findings and corrective activity. To assist and guide the File Review team members regarding technical queries and challenges arising in the file review process. Deal with any issues escalated as a result of reviews carried out by the File Review team. Develop working practices to meet the requirements of the business for accuracy and efficiency.

Working hours of a Compliance Manager (Directly Authorised)

09:00 to 14:00, four days per week (totalling 20 hours per week).

Salary of a Compliance Manager (Directly Authorised)

20,000 - 25,000 dependant on experience
Job Types: Part-time, Permanent

Pay: 20,000.00-25,000.00 per year

Expected hours: 20 per week

Benefits:

Company pension Health & wellbeing programme Referral programme Sick pay Work from home
Application question(s):

Do you have CeMAP? Have you previously worked as a Compliance Manager overseeing Directly Authorised advisers? This is a part-time role, working from 09:00 to 14:00, four days per week. Which days would be ideal for you? Are your salary expectations in line with what we are offering?
Work Location: Remote