Assurance Officer

Kind Consultancy is currently working with a national Financial Services network which is currently seeking an Assurance Officer to join their Compliance team, on a full-time, permanent basis with a remote work model.

The Assurance Officer will report to the Assurance Team Lead and actively and support and monitor network-member businesses, conducting Assurance meetings and upholding the professional standing of the network, with key responsibilities including:

  • Ensuring that Member firms are current with Assurance requirements and assisting in the implementation of any necessary changes.
  • Conducting assurance reviews for applicant members, demonstrating a hands-on approach to compliance assessments.
  • Answering calls on the compliance line, providing direct support to members navigating compliance inquiries.
  • Assisting the Assurance Team Lead
  • Contributing to a culture of training and development through educational initiatives
  • Actively contributing to the compliance team by supporting colleagues

Our ideal candidate for the Assurance Officer opportunity:

  • Has previous exposure to Commercial Finance, audits, reviews and Financial Services regulations
  • Is familiar with Information Technology, including competence tracking.
  • Can quickly understand and analyse complex information.
  • Demonstrates good problem-solving skills.
  • Has strong verbal and written communication abilities, able to clearly and concisely convey information.
  • Displays exceptional attention to detail for accurate compliance assessments.
  • Has a track record of thorough documentation and record-keeping.
  • Has a strong customer service mindset for member support.

If you’re interested in the Assurance Officer position and you have the skills and experience we’re looking for, please apply with an updated CV today.

Compliance Review Officer

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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