Are you looking for a regular income?
Do you want to work for one of the fastest growing Networks?
We need experienced advisers to join our compliance file checking team. Please read the job outline below:
Location: Knowle, Westmidlands
Salary: Negotiable depending on experience
Duties and Tasks
- To carry out compliance monitoring activity, in particular, client file reviews against the companies policy and standards.
- To facilitate completion of remedial action required where non-compliance is identified, including reporting of rule/procedural breaches and identifying any training needs.
- Being responsible for making a fair assessment of the cases reviewed based on available evidence.
- Ensuring that assessments are conducted in a timely and efficient manner.
- Provide data for our internal reporting requirements within agreed timescales.
- Develop and maintain a good understanding of regulatory requirements and techniques.
- Develop effective working relationships with business units and promote a strong and positive compliance culture.
- Current experience of working within a financial services compliance file checking role or demonstrable expertise in this arena.
- Relevant industry qualifications.
- Good interpersonal relationship skills; team work and collaboration.
- Knowledge of the regulatory environment in the UK, and in particular FCA regulation.
- Experience of working in a compliance, training & development functions and/or business quality with some knowledge of conduct risk.
- Previous experience of reviewing client files.
- Working knowledge of business operations and practices.
Personal attributes are important, you will be able to converse with colleagues with comfort and be a team player, you will have a real desire to learn, improve and strive for perfection.
How to apply
To find out more please contact Tania Stretton (Director) on:
01564 732 744