**** This job has been archived. ***
JOB SUMMARY: Working for the UK's leading retirement income broker you will be responsible for managing all compliance along with your team.
SALARY: £35,000 basic depending on experience with quarterly and annual bonus on top up to £10K
MUST HAVES: Experience of working within a Financial Services environment or similar. Minimum 2 years' experience in a similar role within the financial services sector.
Working Hours: 9:00 - 17:00
The UK's largest broker specialising in retirement income. They offer specialist guidance and support to help customers make the right financial decisions.
The successful candidate will be required to:
*Manage the development and review of policies and processes
*Adhere to Financial Conduct Authority (FCA) guidance and regulation
*Complaints - respond and record
*PI insurer - inform of complaints, renewal
*T & C scheme - write, review and maintain
*Instruct, coach and monitor individuals, producing reports and individual training/ development plans ensuring all outstanding actions are completed within agreed timescales
*Call Monitoring Team Supervision - monitor calls, resolve disputes, maintain policy
*Technical support - to both sales and admin teams.
*Accurately record any findings and corrective activity.
*Gabriel return - complete and submit twice yearly
*CPD - supply reading, maintain register to confirm 15 hours per individual
*Annual compliance audit for Threesixty - prepare relevant registers
*Insurance Distribution Review - write policy/procedure and ensure adhered to
*Money Laundering - assist admin with PEPs and Sanctions register
*Vulnerable clients - listen to calls to assess if client vulnerable and if plan suitable
*Conflicts of interest - maintain register
*Breaches - maintain register
Our client is looking for a Compliance Officer with the following experience:
*Experience of FCA regulations within a commercial and operational environment
*Demonstrate understanding of all relevant legislation/requirements
*Experience of working in
*Honesty, integrity and a commitment to go the extra mile
*Enjoy being supported and encouraged by experienced Managers and Directors.
ALTERNATIVE JOB TITLES:
Senior/Compliance Manager, Business Compliance Project Manager, Risk and Regulatory Compliance Manager, AML Policy Advisory Analyst, Compliance Associate, Compliance/AML Training Consultant, Fraud Investigator, Mortgage and Protection Adviser, Mortgage Adviser, Mortgage advisor, Mortgage and Protection Advisor, Account management, Business development, Account Executive, Telemarketing Executive, Lead generator, Telemarketer, Telesales Executive, Internal Sales, Telesales Consultant, protection adviser, protection advisor, Mortgage consultant.
To stay safe in your job search we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organisation working to combat job scams. Visit the SAFERjobs website for information on common scams and to get free, expert advice for a safer job search.