Compliance Monitoring & T&C Officer

6 days left

Cheadle Hulme, Cheadle
£32,500 - £38,000 + benefits
26 Dec 2018
25 Jan 2019
Experience Level
Contract Type
Full time, Permanent

Our client is a well-respected financial services organisation looking for an individual who will report to the Head of Compliance and Risk and undertake this broad yet rewarding role working as part of a small but dedicated team.


The role-




The role is split between supporting the Compliance Function and the Training & Competence Supervisor.




·         To undertake file reviews on business submitted by Appointed Representative firms, providing feedback and development.


·         To record and monitor new business submitted by Appointed Representative firms.


·         To maintain and embed the T&C Scheme, taking responsibility for ensuring that all aspects of the scheme are adhered to.


·         To be responsible for the recording and checking of all financial promotions.


·         To be responsible for the handling and monitoring of complaints.




Key Accountabilities-


·         To conduct T&C visits across all product areas, determining the suitability of the advice given and highlighting areas for development.


·         To facilitate and deliver T&C training for Network Appointed Representatives.


·         To educate the client facing staff in the business on the benefits of a robust T&C Scheme.


·         To act as a referral point for complex files or sensitive issues.


·         To identify common themes and risks across the business in terms of development areas or knowledge gaps.


·         To develop strong working relationships with relevant stakeholders across the business and any relevant third parties.


·         To visit group members and potential members as required, carrying out due diligence, compliance checks and firm and adviser level training and development.


·         To have delegated authority to ensure that the Money Laundering Regulations are complied with and advisers receive appropriate training at appropriate intervals.


·         To monitor all promotional material as defined in the FCA rules and to be responsible for the maintenance and revision as required of the Disclosure documents of the Appointed Representative Companies.


·         To assist in the running of induction courses and other training courses.


·         To monitor and report where necessary changes made to the FCA handbook or guidance given by the FCA.


·         To review and update the Compliance manual as required.


·         To identify any material risks that occurs in the compliance function.  These should be entered onto the Risk Database and appropriately monitored and reviewed.


·         To support the implementation of corporate culture initiatives.


·         To be aware and comply with office health and safety procedures.


·         To carry out other such duties and responsibilities as required by your line manager or assigned to you by the Society from time to time.


Key Requirements-


·         CII / PFS qualification, ideally QCA Level 4 Diploma– Essential.


·         Certificate in Mortgage Advice or equivalent – Essential.


·         Proven experience in working within a T&C/Suitability role – Essential.


·         Has a good understanding of FCA requirements for T&C – Essential.


·         Demonstrable knowledge of suitability, risk profiles and KYC – Essential.


·         Supervisory qualifications such as H15, J07 or AF6 - Desirable.


·         Excellent interpersonal, verbal and written communication skills.


·         Ability to challenge when required, in a constructive manner.


·         Experience with working with IFAs.


The role will be a mixture of office and field based work but travel is likely to be restricted to approximately 2 days a month.


Salary is entirely commensurate with experience but will reflect the significance of the role


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