Field Based Compliance Consultant

Posted 13 March by Search Consultancy Easy Apply

Field Compliance Manager - £40k

This highly established mortgage & protection network is recruiting for a Field Compliance Manager, on a full time permanent basis.


Based from home, covering East Anglia, the successful candidate will support the Senior and Sales Teams with the management of compliance issues in the field. This will be done by completing supervision on advisers, identifying risks and working with both management teams to ensure they are managed proactively and minimised.
Key duties include:-

* Complete quantity of supervision on mortgage and protection advisers in line with the requirements of the T&C scheme.
* Quality supervision to meet standards documented in Adviser 1:1 & Observation Completion & Checking Guide.
* Complete adviser development as required for issues which directly affect compliance e.g. development arising from complaints, sales quality checks, mystery shops.
* Using standard checklist to complete reviews as required.
* Ensure systems & controls are in place and effective.
* Fee documentation and client file checks.
* Sales quality checks and follow up actions.
* Queries from AR firms, advisers & supervisors
* T&C Development Events/Training/ Meetings


To be considered for this opportunity, essentially you will be or have worked within a Sales Manager / T & C / Compliance capacity and have attained full CeMap status.


You will be joining a highly acclaimed business who invests in their employees. You can expect first class training and support and various opportunities to progress your career, whilst being offered a competitive financial package in excess of £34,000.

For further information, please contact Neil Drew at Search Financial Services on .

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.

Reference: 34667933

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