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Financial Services Compliance Manager & Officer - Leeds

Posted 24 January by Profile Search & Selection Ltd Easy Apply Ended

Juliette Lister and Lisa Tremlett are currently assisting an IFA who are presently recruiting for a Senior Compliance Officer as well as a Compliance Manager to support the business in ensuring it complies with its obligations to regulatory bodies such as the FCA and ICO:

Compliance Officer - 30-35k

  • to provide technical and compliance support to the business in relation to its advised/non-advised pension income, investment and insurance activities
  • Conducting file & call observations, including pension transfer cases, in line with the standards of the business identifying any risks and/or training requirements and providing appropriate feedback
  • liaising with the business on all new and on-going projects providing compliance guidance and sign off where required
  • to carry out or oversee activities set out in the annual compliance monitoring plan across all business areas
  • overseeing the day to day financial promotions sign off processes and workload
  • overseeing and addressing complaints
  • reporting any issues and/or risks to the Head of Compliance as they arise
  • producing MI to support all aspects of the work carried out by the Compliance department, including but not limited to the Risk Register, Conduct Risk and Treating Customers Fairly

Financial services qualifications -QCF Level 4 (Diploma) qualified with proven experience of within the 'at retirement market place’

Desirable -Pension Transfer qualification (G60, AF3 or AF7)

Compliance Manager - 35-40k

To support the business in ensuring it complies with its obligations to regulatory bodies such as the FCA and ICO:

  • to provide technical and compliance support to the business in relation to its equity release and mortgage activities
  • liaising with the business on all new and on-going projects providing compliance guidance and sign off where required
  • to carry out or oversee activities set out in the annual compliance monitoring plan across all business areas
  • overseeing the day to day financial promotions sign off processes and workload
  • overseeing and addressing complaints
  • reporting any issues and/or risks to the Head of Compliance as they arise
  • producing MI to support all aspects of the work carried out by the Compliance department, including but not limited to the Risk Register, Conduct Risk and Treating Customers Fairly
  • to provide review and analysis of the impact of all relevant regulation affecting Age Partnership

Essential

  • With experience of working in a compliance role involving standard setting, process and procedure development, monitoring and reporting across the entire business including administration
  • Experience of advised and non-advised processes
  • Experience of mortgage and/or equity release advice

Financial services qualifications

  • QCF Level 4 (Diploma) qualified with proven experience of within the 'at retirement market place’

This is a Profile Search and Selection vacancy who are operating as an Employment Agency.In order to apply for this position candidates MUST have FINANCIAL SERVICES EXPERIENCE.Please note as we receive a high volume of applications we are only able to respond to those candidates who are shortlisted.

If you are also aware of any friends or colleagues currently working within the industry who are looking for a change within their career, please pass on our contact details and we will endeavour to assist with their search.

Profile Search and Selection are a specialist Pensions and Financial Services recruitment agency with opportunities nationwide -Please feel free to contact us direct should you wish to discuss any further vacancies

Reference: 34031053

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