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Compliance Review Officer

Kind Consultancy is working with a market-leading, multi-award-winning Mortgage & Protection network which is currently seeking a Compliance Review Officer to join them in a 9-month Fixed Term Contract paying up to £27,000, with a hybrid work model based in their East Midlands office (after a fully office-based training period).

The Compliance Review Officer will primarily focus on assessing client files to ensure compliance with regulations and company standards, with other key responsibilities including:

  • Monitoring and maintaining FCA guidelines and regulatory obligations.
  • Ensuring that Network standards are adhered to by all Appointed Representatives and their Advisers.
  • Conducting desk-based checks to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM systems.
  • Carrying out desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
  • Producing reports and maintaining records of analysis as directed by the Compliance Manager and/or 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 any wilful and uncorrected deficient advice and/or documentation and agreeing appropriate remedial actions.

Our ideal candidate for the Compliance Review Officer fixed-term contract:

  • Has 2+ years of experience of comparable Compliance work within Financial Services.
  • Holds or is willing to attain CeMAP (or equivalent).
  • Has built up a good understanding of the current UK regulatory environment.
  • Is an excellent communicator in both writing and speech, able to translate complex information for a variety of audiences.
  • Is analytically minded with a problem-solving approach.
  • Has experience of facilitating and delivering training.
  • Is passionate about building excellent working relationships.

If you have the necessary skills, knowledge and experience, are based in or can commute to the East Midlands and you’re interested in the Compliance Review Officer fixed-term contract, please apply with an updated CV today.

Compliance Officer

Kind Consultancy is working with a well-established, award-winning IFA firm which is currently seeking a Compliance Officer to join their Hertfordshire offices in a full-time, permanent role paying £40,000 – £50,000 dependent on experience, with a hybrid work model requiring 3 in-office days per week.

Reporting to the Operations Manager, the Compliance Officer will support the Compliance function, ensuring the business is fully compliant with both internal and external policies and regulations, with key responsibilities including:

  • Overall management of regulatory risk
  • Building and maintaining a constructive and open dialogue with the FCA and other relevant authorities, ensuring that any regulatory reports or enquiries are handled appropriately and promptly.
  • Overseeing the review and development of existing products and services.
  • Collaborating with all business areas to find compliant solutions to business problems.
  • Overseeing any necessary remedial action arising as a consequence of regulatory risk
  • Overseeing regular auditing to ensure compliance with FCA regulations
  • Maintaining up-to-date awareness of regulatory developments
  • Assisting the Operations Manager to enable the provision of advice and guidance on all aspects of compliance
  • Responding in a timely basis to any requests for information from regulatory bodies.

Our ideal candidate for the Compliance Officer opportunity:

  • Is currently working in or has previously held a similar Compliance role within Financial Services – ideally with exposure to IFA work
  • Has a background in Financial Services administration support work, with experience of file checking and reviews
  • Is detail-oriented, able to maintain accurate records with consistently excellent attention to detail
  • Is professional and discrete, able to confidently, regularly handle highly confidential work
  • Is a self-starter with Project Management skills
  • Holding a Compliance or other Financial Services qualifications or working towards them would be desirable.

If you have the necessary skills, knowledge and experience, are based in or can commute to Hertfordshire and you’re interested in the Compliance Officer opportunity, please apply with an updated CV today.

Compliance Administrator

Kind Consultancy is working with a well established, national Financial Services business which is currently seeking a Compliance Administrator to join them in a fixed-term-contract capacity providing maternity cover, full time with a hybrid working model requiring 2 in-office days per week in their Surrey office, paying up to £26,000 dependent on experience.

The Compliance Administrator will be part of the Compliance team, monitoring the delivery of Compliance review services provided to clients, with key responsibilities including:

  • Monthly reporting of clients due for review, checking that paperwork is uploaded to the firm’s system, and providing monthly reports to the Compliance Department regarding outstanding reviews
  • Producing and circulating monthly client review report to Partners within the agreed timescales.
  • Supporting the organisation’s Partners with updating their review details on the relevant systems.
  • Compliance checking and processing all completed reviews in accordance with company procedures and within agreed timescales.
  • Maintaining the central client review record.
  • Taking responsibility for chasing outstanding reviews in agreed timescales.
  • Producing monthly MI for the Compliance Review Manager regarding overdue reviews.

Our ideal candidate for the Compliance Administrator fixed-term contract:

  • Is a positive, friendly service-orientated team player with a “can do” attitude.
  • Has some awareness and understanding of the role played by Financial Advisors.
  • Has previous experience of administration work within Financial Services
  • Is highly accurate in their work with consistently strong attention to detail.
  • Demonstrates honesty, integrity and the ability to maintain confidentiality.
  • Is highly numerate.

If you’re interested in the Compliance Administrator fixed-term contract, you are based in or can commute to Surrey and you have the necessary skills and experience, please apply with an updated CV today.

Compliance Coordinator

Kind Consultancy is working with a Consumer Credit business that is currently seeking a Compliance Coordinator to join them in a full-time permanent role paying £30,000 to £35,000 dependent on experience and based in the organisation’s North Northamptonshire offices.

The Compliance Coordinator will work with the Compliance Manager to deliver the key elements of compliance assurance, with responsibilities including:

  • Assisting with implementation and review of policies, procedures, and processes necessary to maintain a robust culture of compliance.
  • Ensuring that enterprise-wide initiatives are undertaken with consideration of all applicable regulatory requirements, with a particular focus on Financial Conduct Authority Consumer Credit obligations and Data Protection.
  • Maintaining the Financial Services and Data Protection policies and procedure documents in line with all regulatory and business requirements.
  • Conducting compliance-related activities necessary to maintain authorisation to conduct Consumer Credit business activities in the UK.
  • Providing management information on assurance findings and associated remediation plans on a regular basis to the management team and key stakeholders to keep them informed of the operation, progress, and effectiveness of the compliance monitoring plan.
  • Assisting in the delivery of compliance regulatory training programme, including appropriate introductory training for new staff as well as ongoing training for all employees and managers.
  • Monitoring the performance of the compliance assurance programme and recommending appropriate steps to improve its ongoing effectiveness.
  • Recommending corrective action plans for resolution of any problematic issues.
  • Assisting with, and where required, managing compliance projects (as part of the overall Compliance Monitoring Plan).
  • Developing and maintaining effective relationships with internal stakeholders, all appropriate regulatory bodies and other relevant third parties (e.g. external advisors).
  • Collaborating with other departments such as legal, credit, portfolio management and customer service to investigate and resolve compliance issues as they arise. Ensuring consistent and timely handling of regulatory issues.

Our ideal candidate for the Compliance Coordinator role:

  • Has experience of Quality Assurance, Complaints and Customer Service work within Financial Services – preferably in a Consumer Credit environment
  • Having experience of working as part of a Compliance function within Financial Services or experience of working within an FCA approved Consumer Credit firm would be highly desirable, as would an awareness of key FCA topics such as customer vulnerability, consumer duty requirements and SYSC requirements.
  • Has excellent written and verbal communication skills and strong IT skills including Microsoft Office
  • Has well-developed project management and organisational skills.
  • Enjoys travel and is willing to regularly visit sites across the UK

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

Senior Compliance Manager

Kind Consultancy is working with a growing FinTech business which is currently seeking a Senior Compliance Manager to join them in a full-time, permanent role paying circa £70,000 with a hybrid work model based out of their London offices.

The Senior Compliance Manager will provide high-quality guidance across the business on regulatory and compliance matters, with key responsibilities including:

  • Delivering accurate advice on regulatory manners in a timely manner, including FCA Handbook requirements
  • Maintaining up to date knowledge of regulatory and industry developments and advising the senior team on the necessary actions ahead of regulatory change etc
  • Participating in key business projects, providing Compliance input
  • Making sure that the Compliance Manual and all relevant policies and procedures are kept up to date
  • Supporting colleagues through Compliance Investigations or Reviews
  • Where required by the Head of Compliance, liaising with the FCA and responding to regulatory information requests.
  • Contributing to a strong, positive Compliance culture by building good working relationships across the business

Our ideal candidate for the Senior Compliance Manager opportunity:

  • Has 3+ years of experience in Compliance roles within Financial Services – ideally with FinTech exposure
  • Demonstrates in-depth knowledge of the UK regulatory environment, including all relevant FCA Handbooks
  • Is an excellent communicator in writing and speech, able to quickly build lasting working relationships and to translate complex Compliance topics for a variety of audiences
  • Has a track record of successfully interpreting and applying new regulations for a Financial Services business
  • Is analytically minded and highly organised with exceptional attention to detail.
  • Is highly motivated, with a desire to drive business-wide improvement and create a positive Compliance culture.

If you’re interested in the Senior Compliance Manager opportunity and you have the skills, knowledge and experience we’re looking for, please apply with an updated CV today.

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A specialist recruitment and executive search firm specialising in interim and permanent Governance, Risk, Compliance, Complaints, Financial Crime and Change & Transformation roles across Financial Services

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