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First Recruitment Services Limited
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Horsham, West Sussex
Compliance Quality & Risk Analyst
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Job Type: Full-time |
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Salary: £28,000 per annum |
Overview
My client, a forward thinking, innovative company based in Horsham, is looking for a Compliance Quality & Risk Analyst to join their team at this exciting period of growth. Salary: £28-£36,000pa plus excellent benefits package Hours: Monday - Friday, 9am - 5.30pm Key Duties: - Keeping up-to-date with regulatory and industry developments Responsibility for the delivery of the function’s File Review Service to Directly Authorised IFA firms Timely communication to advisers, feed back file review grades with remedial actions if required Maintain daily/weekly and monthly file review output reporting spreadsheets. Organise a specified and growing number of directly authorised firms UK wide Schedule and manage own diary of File Review activities, other assigned compliance project work within desired timescales in accordance with function’s service standards Maintain a technical helpdesk answering compliance queries from IFA firms via phone and email Deal with compliance, regulatory and business-related enquiries from DA IFA firms As necessary provide compliance support to DA IFA firms and guidance to ensure compliance with regulatory rules and principles for businesses Liaise effectively with business owners in respect of regulatory issues and provide guidance and support, as required When required, assist the Senior Compliance Consultant in providing a timely response to requests for information and or project work Provide support to the Consultancy Function relating to the research and production of bulletins, regulatory news and other adhoc projects Provide DA IFA guidance on regulatory issues, FCA news, bulletin updates Assist with the review and sign off IFA promotions, regulatory updates, DA Bulletins and provide guidance where required The perfect candidate will ideally have the following skills / experience: - Detailed knowledge of FCA Handbook, objectives and their interpretation/application Ability to provide and deliver individual new business file review feedback, guidance and support Ability to train and motivate others whilst remaining flexible and adaptable Highly developed analytical, observational, empathy, listening and communication skills Manage business relationships with directly authorised IFA firms, business owners and key decision makers Demonstrates willingness to listen and work pro-actively with IFA firms In depth knowledge of compliance and training and competence (T&C) FCA regimes Demonstrates an 'outside the box’ solutions approach to problem solving Identifies solutions rather than problems with an ability to work proactively with member DA firms First Recruitment Services is acting as an Employment Agency in relation to this vacancy.