Our Client is well known throughout Financial Services and Operates within the IFA Market. They are now looking to meet with an Experienced Compliance / Policy & Technical Consultant.
This a "Fixed Term Contract" until Year End 2018 (but could run longer) providing Maternity Cover.
Purpose of The Role:
* Assist with the development and the delivery of directly authorised regulatory policy and support our client`s strategy and service propositions to enable delivery of a first class and proactive service to clients, whilst ensuring regulatory information and guidance is communicated effectively to key internal and external stakeholders.
* To provide technical and product specialist financial planning support to clients, staff and external contacts.
- Support for the technical helpdesk facility with member queries on technical financial planning issues including pensions, investments, corporate advice, protection, taxation and trusts during business hours.
- Produce timely and relevant written compliance information and guidance for distribution to internal staff and clients.
- Take accountability for resolution of complex regulatory queries escalated from other areas of the business.
- Where necessary, interact with the FCA and other regulatory organisations to resolve points of interpretation.
- Assist with development and hosting of bespoke customer training / meetings at client or external premises. Representing our client professionally at Regional meetings and Industry events.
- Assisting in the design and application of compliance standards for product sales, by the creation and upkeep of suitability checklists and best practice guidance for use by client firms and teams
- Assist in the production of technical material, articles and presentations for use within the business and in external communications.
- Assist and support internal staff (CSU, remote compliance and Field consultancy etc.) with more complex technical and compliance queries (with particular reference to suitability) and tasks where appropriate to ensure that the service provided meets clients' needs.
- Support the team in the delivery (and where necessary the actual delivery) of project/outsourced work including presentations and training and to ensure that agreed deliverables are provided in an appropriate and timely manner. This may include onsite support for member firms.
Skills, Qualifications & Experience Required:
* Minimum level 3 FCA recognised qualification for advising on regulated investments, preference is for level 4 status.
* Experience gained working on a technical / compliance helpline.
* Experience of a compliance focused environment within directly authorised arena
* A comprehensive knowledge within either a technical/product environment or a legislation/regulation environment, with particular relevance to Directly Authorised firms.
There is an Excellent Salary & Benefits Package available with this Role!
- FPC 3
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