Job Description

Job Summary

To assist in embedding a positive compliance culture across the company and within its Networks, helping Firms deliver robust and repeatable best practices and to identify and mitigate risk. To be a point of contact for Member Firms and Field Compliance Supervisors of The Company and offer Compliance support to ensure their adherence to the Rules, Guidance and Procedures in place which govern the activities of regulated individuals and firms, helping to ensure a positive outcome is achieved for consumers.

Duties and Responsibilities:

Ensure awareness and compliance of regulatory responsibilities and ensuring that the consumer outcomes are at the core of our focus in all work we do.

To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual being of a risk to the Company arising from their activities.

To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions or directions agreed by the Compliance Manager according to individual circumstances, and accurately recorded outcomes on the in-house systems. These visits may be on site around the UK or conducted remotely from the Horsham office.

To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.

To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Compliance Manager.

To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of everyone within the firm and an overall risk assessment of the firm based upon the findings of any audit.

To provide guidance to firms and individuals in setting up and maintaining good business and compliance practices and procedures, to include review and approval of financial promotions and the provision of technical support.

Skills / Qualifications

Working knowledge of the FCA Rules.

Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO).

Progression towards Level 4 Diploma in Financial Planning.

CII Financial Services Regulation and Ethics (R01) (desirable). Essential within 12 months of appointment

Demonstrate sound analytical skills with high attention to detail.

Demonstrate sound IT Skills, specifically Word Processing, Spreadsheets and Email.

Demonstrate good report writing skills, including the use of plain English.

Working knowledge of the financial services industry, products and risks.

Working knowledge of a Compliant Sales Process and Disclosure requirements.

QCA Level 4, 6 or 6+ qualification.

Job Type: Full-time

Pay: 33,520.00-37,967.00 per year

Benefits:

Company pension Life insurance Private medical insurance
Schedule:

Day shift Monday to Friday
Application question(s):

Do you have working knowledge of FCA Rules ?
Do you have working knowledge of the Financial Services industry, products and risks ?
Do you have or are you working towards Level 4 Diploma in Financial Planning ?

Experience:

Compliance within the Financial Services Industry : 1 year (required)
Work Location: In person

Reference ID: AL 1023