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RecruitUK
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Leicester, Leicestershire
Compliance Consultant
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Salary: Up to £40,000 per annum |
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Overview
Job Title: Compliance Consultant Industry: Financial services Location: Leicester Salary: up to £40,000 Job Description: Recruit UK are working on an excellent opportunity for a Compliance Consultant in Leicester to join a Financial Planning company This role will see you building and maintaining effective relationships with members by increasing their knowledge and understanding of their business. This will be done via a number of means but it will be your responsibility as a Compliance Consultant, to build an appropriate programme of visits to meet the monitoring requirements. Duties will include but will not be limited to: • Help ensure that any non-advising approved person is competent for the role they undertake, by formally reviewing this on an annual basis in line with the T&C requirements Help ensure the company can respond to requests for information from the FCA and provide the requisite notifications to the FCA • Help ensure appropriate ethical standards exist within the company • Help ensure that all approved persons are subject to the necessary levels of supervision outlined in the company’s relevant procedures Help ensure knowledge of the necessary regulatory requirements is kept up to date • Help ensure the company continues to meet its threshold conditions (COND) • Report to the company’s Compliance Manager on a regular basis on all relevant compliance issues • Comply with the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice and the relevant FCA rules at all times • Help ensure all advisers, investment managers and new business administrators are aware of any relevant guidance in the areas in which they work and have received appropriate training on any new markets or products in which the company is involved Comply with the relevant compliance, TCF, T&C and financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times • Although this role is home based you will be expected to travel to the clients so applicants must have a full driving license. • Help ensure the company keeps up to date management information and that any adverse trends or recurring problems identified are passed on to the relevant individuals within the company • Help ensure that the company has adequate data security policies and procedures in place and that these are implemented properly What’s in it for you: • Salaries up to £40,000 (negotiable dependent on your experience and skill-set) • Generous employer’s pension contribution • Up to 25 days holiday plus bank holidays • DIS • Supportive and friendly work environment • Great company culture Skills and experience required: • Level 4 diploma is compulsory (CII, LIBF or DipFA) • Previous compliance experience in file checking, compliance management, T&C • Full Driving Licence • Ideally have the qualifications AF3, AF7 or G60, but not essentially About Recruit UK: As specialists in financial services recruitment, we bring unique expertise, insight and connections, whether you are looking for a new job or are trying to fill a role. We have a reach of more than 100,000 financial services connections. Right now, Recruit UK are pleased to be working with a Financial services firm recruiting in Leicester on a Compliance Consultant role. Our commitment to you Start every journey with a conversation to find out about you in depth. Provide honest feedback on where you fit in the jobs market. Use our network across the financial world to match you to your perfect position. Or if we think you already have it, we’ll tell you. Take a holistic mindfulness approach – career happiness is rarely just about the money. Cover the whole of the UK with a local touch through our regional teams. Never pester you. This job was originally posted as www.totaljobs.com/job/89712097