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Senior Compliance Manager
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:
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