Apply for this job A multi-award winning financial services practice, is currently seeking a Compliance Professional to join their Compliance Department during a period of expansion within the business.
As a Compliance Supervisor, you will be reviewing the suitability and quality of advice given to customers by Consultants representing the business and to ensure that any identified areas of concern or development are appropriately addressed, as well as more general administration within the team.
Assist the Compliance Manager in formatting and implementing compliance policy. Audit and monitor front and back-office operational and selling practices in order to provide assurance to the Executive and senior management of the business that our required procedures and processes are being followed and that the required standards of business practice are being met, utilising Industry best practice risk-based methodologies to ensure optimal resource allocation and focus on high-return activities. Provide support to the Head of T&C in providing second line supervision as appropriate. Maximise risk mitigation across the business by providing proactive identification of regulatory requirements, implementing industry best practice and supporting the ‘Approved Persons’ in ensuring the optimisation of compliant profitable advice. Adopt industry best practice and as a result improve the TCF structure and culture within the business, as well as ensuring regulatory requirements are met as business as usual. Identify risks and the implement appropriate business controls, which could result in potential breaches of the regulatory system, material client disadvantage and reputational damage to the business. Implement the Compliance Plan in relation to all aspects concerning Compliance within the business. Including reporting to senior management including the Board where necessary.
To hold QCA level 4 qualification or able to demonstrate relevant experience equivalent to level 4 Experience working within financial services. Experience working within a Compliance role, with experience of dealing with the FCA Synonyms: *File Checker, Compliance Adviser, Complaine Office, Compliance Support, Compliance Executive, Compliance Associate, Risk*