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Training and Competence Supervisor / Senior Compliance Officer
Leicestershire (our ref AL1321)
Salary £30,000 - £35,000 dep on exp + benefits
This is an employed desk-based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium sized, friendly Independent Financial Services company based Leicestershire. The role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings.
Experience in financial services is essential, along with enthusiasm and commitment in delivering a first-class service to colleagues and helping ensure that they in turn deliver a first-class service to our clients. CII Diploma Level 4 (or equivalent) is a minimum requirement.
The Compliance Department makes sure that all staff comply with internal and external regulations, working with management and staff to identify regulatory risks, and design internal controls to ensure compliance is maintained within the organisation.
The T & C Supervisor / Senior Compliance Officer is required to support new and existing IFA’s to ensure that adherence to FCA and Company rules are maintained in meetings and files.
Duties:
- Train and coach experienced and new IFAs on the Company Advice process.
- Observe and provide feedback to advisers using the Company Observation Guide.
- Support and develop trainee IFAs as required
- Check trainee advisers’ advice pre-sale until signed off as per the T&C Scheme.
- Supervise a team of IFAs with various experience and skills and complete 1-1’s as required.
- Summarise findings to discuss at monthly Compliance T&C meeting.
- Feedback to the compliance team if areas not meeting standards are identified.
- Support the Senior Compliance Manager when required.
- Other special projects of investigation and compliance support when required.
- Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
- Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
- Keep up to date with all relevant product, legislative and technical changes, as required.
- Follow appropriate ethical standards within the company at all times.
Ideal skills and experience:
- Someone who has worked in a financial services organisation who understands regulations/compliance and has ideally supervised Retail Investment Advisers
- Self-motivated and organised, with a good work ethic.
- Will take personal responsibility for the quality and timeliness of work and can achieve results with minimal supervision.
- Diploma level 4 qualified.
If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website.
