Our client is a long standing financial services organisation, who are looking to hire a Compliance Monitoring Consultant to be located in their Yorkshire based head office. In this role you will be responsible for, alongside other members of the Compliance Monitoring team, performing thematic and customer outcome testing monitoring reviews in line with the Annual Compliance Monitoring Plan.
- Contribute to the delivery of the Annual Compliance Monitoring Plan by producing quality reviews
- Have the ability to perform more complex reviews;
- The provision of advice and guidance on actions required to achieve compliance with prevailing regulatory requirements and Codes of Practice as part of recommendations in Monitoring reports;
- Reporting to management on levels of compliance assurance or issues arising through specific monitoring activity;
- Responsible for sharing your expertise in relation to Compliance within the team by providing support, guidance and training where appropriate;
- Responsible for personally keeping up to date in respect to all relevant sections of the FCA Handbook including the key aspects of BCOBS, COBS, ICOBS, MCOB including sales process, key elements of SYSC/FIT/APER, Training and Competence.
- You will have relevant qualifications and experience across product and service areas, with technical knowledge across FCA handbook areas (for example MCOB, BCOBS, COBS & ICOBS).
- You will have as minimum the Diploma in Financial Planning and ideally CeMaP or the MAQ.
- You will have good experience of utilising your skills and experience to identify potential areas of poor customer outcomes and making appropriate recommendations to drive change and improve outcomes and have experience of working in a Compliance/QA or Audit role; ideally performing monitoring reviews.