Compliance Officer

Posted 6 May by Talentspa
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Salary - £41,000 plus benefits

Home based, with ability to travel (flexible working considered)

Open-ended contract, full time

Our client is looking to recruit a Specialist Remote Compliance Officer, on an open-ended contract. Working within the financial services sector, you will be responsible for ensuring compliant advice is provided to clients, with a focus on advice deemed to be specialist, complex and/or high-risk.

The role has a dual focus of ensuring outcomes to assess suitability for end customer and management of firms’ business risk. You will support other non-specialist review work, as well as themed reviews and Regulatory driven projects as required.

Responsibilities:

  • Assessment of specialist, complex and/or high-risk business written against business standards and the provision of clear, accurate and appropriate feedback.
  • Assessment of cases selected for themed monitoring and assisting the reporting of the outcome of themes.
  • Follow procedures for identifying and referring unsuitable advice cases.
  • Following departmental procedures for the correct administration and recording of work, in order to create accurate and robust audit trails.
  • Ensure that accurate and accessible records of case reviews are maintained.
  • Collaborate with peers and other internal departments in order to maintain quality and consistency of case review work. Where trends are identified, work with any appropriate teams to address these.
  • Help to create an open and supportive environment for quality review discussions to take place.
  • Liaise with customers by telephone, video calls and in writing to provide a positive customer experience.
  • Act in accordance with the department’s T&C document to demonstrate ongoing competency.
  • Provide support to colleagues within the team and the group as and when required.
  • To understand the significance of TCF as the prime driver within the department and SBG, highlighting any procedures & processes that do not adhere to the principles of TCF and put forward suggestions to improve TCF practices.
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

Critical Skills and Knowledge Required:

  • Analytical mind and excellent attention to detail.
  • Excellent standard of written and verbal communication.
  • Excellent time management skills with an ability to work to deadlines.
  • People skills including on a 1:1 basis and in a team.
  • Good decision-making skills.
  • Ability to coach and provide feedback.
  • Good awareness of operational and regulatory risk, with understanding of how this may impact on Sesame Bankhall Group.
  • Good level of IT skills in order to be able to adapt to various programs and systems.
  • Good background knowledge of FCA Conduct of Business, advice process requirements and TCF principles.
  • Good knowledge of financial services and markets.
  • Knowledge of compliance processes and structures.
  • Knowledge of key advice areas to include investments, pensions (including occupational pension transfers) and trust structures.

Essential Qualifications Required:

  • Diploma in Financial Services (QCF Level 4)
  • G60/AF3/AF7/AwPETR or equivalent
  • J02 Trusts & R03 Personal Taxation (AF1 Personal Tax and Trust Planning or equivalent desirable)

Essential Experience Required:

  • Experience of working in a compliance environment, with at least some experience of providing file review feedback.
  • Experience of working within a pension’s environment.
  • Experience of working with financial advisers either in house or in a service delivery role.

Benefits

  • Flexible working
  • Employee discount schemes
  • 4 x life assurance
  • Company contributory pension scheme
  • Generous holiday entitlement
  • Private Medical Insurance

They are committed to Treating Customers Fairly. As part of your role, it will be your responsibility to work within the principles of TCF which would be specific to your role and department.

They are an equal opportunity employer, committed to ensuring representation of people from all backgrounds regardless of their gender identity or expression, sexual orientation, race, religion, ethnicity, age, neurodiversity, disability status, or any other aspect which makes them unique. Applications are encouraged from all candidates and we would encourage you to let us know if there are steps we can take to ensure that your recruitment process enables you to present yourself in a way that makes you comfortable.

If you think that you are suitable for this role, please apply now!

Reference: 42646124

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