In return the successful candidate will be offered a competitive salary and benefit package with the scope to progress.
MAIN PURPOSE/FUNCTION OF JOB:
To provide assistance to Head of Compliance/Compliance Officer as part of Compliance Team, helping to ensure business meets all relevant regulations, helping to encourage a compliance culture and provide advice on compliance-related matters to the business.
• To provide compliance support and advice.
• Deal with queries from staff.
• Assist Compliance Officer with ensuring that all regulatory and business requirements are being met on a day-to-day basis in line with business requirements.
• Assist with on and off-site compliance monitoring reviews.
• Help investigate and resolve any complaints.
• Produce coherent high quality compliance management information to enable the measurement and management of regulatory risks across the business.
• Assist with reviewing and updating compliance policies and procedures.
• Assist in managing financial crime prevention procedures through on-going monitoring of business activity and arranging staff training.
• Review new business client files to monitor KYC, advice and suitability standards.
• Assist with monitoring staff competence, provide feedback and arrange appropriate training where required.
• Assist in supervision of regulated individuals, including new entrants, by providing/arranging training, coaching and monitoring of adviser day-to-day activities.
• Provide financial promotions guidance and approval.
• Assist with regulatory reporting, including preparation of GABRIEL/RMAR.
• Monitor FCA website and review relevant FCA publications, providing advice on any changes required to procedures.
• To undertake ad-hoc projects as required.
Education / qualifications
Relevant financial planning qualification – prefer level 4 Diploma in Financial Planning, (or working well towards).
Experience in a financial planning, paraplanner or similar role. Minimum 12 months compliance monitoring.
Production and analysis of management information.
Participation in FCA thematic reviews.
Regulatory change project experience.
Preparing regulatory returns, e.g. FCA GABRIEL/RMAR.
CURO client management system
Virtual Cabinet document management.
Good knowledge of FCA rules, especially COBS, SYSC, SUP, TC and DISP.
Workplace Pensions regulations.
FS products; corporate and individual, including group pensions and group risk and other corporate benefits.
Reed Specialist Recruitment Limited is an employment agency and employment business
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