Compliance Review Officer

Compliance Review Officer

Compliance

Fully Remote

Permanent, Remote

£25,000 - £29,000 Per Year

Posted


Kind Consultancy is working with a national Mortgage & Protection network which is currently seeking a Compliance Review Officer to join them in a full-time, permanent role paying £25,000 - £29,000 dependent on experience. The organisation's head offices are in the East Midlands but for this role they are open to fully-remote work.

Reporting the Compliance Manager, the Compliance Review Officer will assess client files to ensure member firms are fully compliant with regulations and company standards, with key responsibilities including:

  • Monitoring and maintaining adherence to FCA guidelines and other regulatory obligations.
  • Ensuring that network standards are adhered to by all Appointed Representatives and their Advisers, in line with internal sales processes and procedures.
  • Conducting desk-based checks to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.
  • Carrying out desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
  • Producing reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
  • Building strong relationships with key stakeholders, championing good customer outcomes.
  • Providing appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
  • Reporting wilful and uncorrected deficient advice and/or documentation and agreeing on the appropriate remedial action.
  • Maintaining ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager

Our ideal candidate for the Compliance Review Officer opportunity:

  • Is CeMAP qualified (or willing to work toward it)
  • Has at least 2 years of experience in a similar role within the Financial Services sector
  • Has knowledge of systems of control and able to follow clearly defined procedures
  • Is a confident user of Microsoft Office suite i.e. Excel, Word etc.
  • Has a good grounding and understanding of working within a Regulatory environment
  • Has demonstrable supervisory skills and excellent verbal and written communication skills
  • Is able to analyse information with a view to making informed decisions
  • Can facilitate and deliver appropriate training, liaising with the training manager where necessary
  • Is a good team player, but with an ability to work under own initiative

If you have the skills, qualifications and experience we're looking for and you're interested in the Compliance Review Officer opportunity, please apply with an updated CV today.

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