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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.

Compliance Monitoring Officer

Kind Consultancy is working with a large, national Financial Services business which is currently seeking a Compliance Monitoring Officer to join them in a full-time, permanent position paying up to £32,000 with a hybrid work model requiring 2-3 in-office days per week in their Milton Keynes offices.

The Compliance Monitoring Officer will support the delivery of second line monitoring across the business, with key responsibilities including:

  • Contributing to the preparation of the Compliance Monitoring Plan, which is risk-based, and approved by the Group Risk & Compliance Director and Group Audit & Risk Committee.
  • Preparing regular, timely, relevant and concise reporting on the Monitoring findings for management, including recommendations for addressing any weaknesses identified.
  • Tracking and reporting on the progress of remedial actions and where appropriate, guiding management in implementing necessary improvements.
  • As required, acting as “Lead Monitoring Officer” to manage specific reviews and coordinate the activities of other Monitoring Officers in relation to that work.
  • Working closely with key business areas and stakeholders, for example the Case Checking Team, across the business to implement the agreed approach to Compliance Monitoring.
  • Staying updated on best practices and external developments in the area of Monitoring and ensure that learning is applied.
  • Undertaking special investigations as required in response to breaches or other issues arising.
  • Identifying and escalating at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.
  • Conducting onsite visits as required to enable planning, testing and reporting to take place.

Our ideal candidate for the Compliance Monitoring Officer opportunity:

  • Must have relevant experience within Financial Services industry, with particular knowledge of mortgage services.
  • Has a sound understanding of FCA Regulation, including MCOB, ICOBS and DISP.
  • Is a team player, with the ability to work unsupervised.
  • Has a proven ability to build strong and effective working relationships with stakeholders.
  • Demonstrates consistently strong attention to detail and ability to deliver high quality written work and reporting.
  • Displays effective oral and written communication skills.
  • Has the confidence and credibility to provide appropriate and commercial challenge to the business.
  • Holding a professional mortgage qualification (CF1, CF6) or being willing to study for one would be desirable, as would holding a professional compliance qualification (ie. ICA Diploma or Advanced Certificate)

If you’re interested in the Compliance Monitoring Officer position and you have the necessary skills, knowledge and experience and live in or can commute to Milton Keynes, please apply with an updated CV today.

Senior Compliance Monitoring Manager

Kind Consultancy is working with a succesful, growing Challenger Bank which is currently seeking a Senior Compliance Monitoring Manager to join them in a full-time, permanent role based in their West Midlands office.

The Senior Compliance Monitoring Manager will focus on delivering a risk-based Compliance Monitoring plan, tailored to the organisation’s customers and products, with key responsibilities including:

  • Managing delivery of the annual Compliance Monitoring plan, ensuring timely delivery of compliance monitoring activities to ensure adherence to both regulatory and internal policy
  • Undertaking and managing the Compliance Monitoring team in the completion of compliance monitoring activities
  • Producing timely management reports, identifying areas of non-compliance with internal policy, regulatory requirements and the internal control framework
  • Reviewing, monitoring and tracking actions from reports completed by external auditors, ensuring a timely and satisfactory closure is achieved and evidenced by an audit trail
  • Cultivating and developing an enthusiastic and engaging team, encouraging open dialogue with all colleagues to engender trust and drive continuous improvement.
  • Demonstrating creative thinking, challenging existing processes and proposing new ways of working to maximise efficiency.
  • Adding value by tailoring Compliance Monitoring activities to a variety of challenges as they arise and encouraging team members to do the same
  • Reviewing and challenging existing reporting mechanisms and formats to ensure that Compliance Monitoring reporting is engaging, visual and clearly directs the recipient to the key areas of concern or interest.
  • Adopting an open-minded approach to problem solving, seeking pragmatic and cost-effective solutions to business and regulatory issues and subsequently ensuring that the team measure and monitor the performance of those solutions, allowing for swift identification of ongoing and repeat issues
  • Representing Compliance Monitoring at stakeholder and client facing meetings

Our ideal candidate for the Senior Compliance Monitoring Manager opportunity:

  • Demonstrates experience and understanding of the FCA Handbook, specifically PRIN, SYSC, COCON, CONC, COBS, BCOBS, MCOB, DISP and SUP in addition to the Payment Services Regulations (PSR), with the ability to apply this knowledge to day-to-day decision making.
  • Has 5+ years of experience working in a Compliance role within Financial Services, with experience of managing team performance.
  • Is an excellent communicator, able to adapt their style to provide pragmatic feedback and guidance both verbally and in written reports
  • Is an engaging team leader, inspiring reports to produce high quality, value-adding outputs
  • Has a track record of succesful risk-based decision making, and of influencing key stakeholders to reduce regulatory and conduct risks
  • Is confident in managing their own workload and deliverables, ensuring high standards of quality and monitoring
  • Is able to interpret regulatory developments and apply them to the organisation’s activities
  • Holds one or more relevant industry qualifications such as the International Compliance Association (ICA) GRC Diploma (not essential but highly desirable)

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

Training & Competence Supervisor

Kind Consultancy is working with a succesful, growing Wealth Management firm which is currently seeking a Training & Competence Supervisor to join them in a full-time, permanent role paying up to £45,000 with a hybrid work model requiring 2-3 in-office days per week in their Birmingham office.

The Training & Competence Supervisor will support the delivery of an effective Training & Compliance function, implementing and maintaining high standards, with key responsibilities including:

  • Providing compliance guidance and training to relevant employees of the business
  • Drafting and updating Training & Compliance policies and procedures
  • Working closely with the Head of Compliance to support all business areas with compliance related issues
  • Understanding complex management and regulatory information and translating it into easy to understand forms for key stakeholders
  • Conducting regular internal reviews to ensure that compliance procedures are followed
  • Ensuring that everyone connected to the firm’s regulated business has the skills, knowledge, and expertise to carry out their role appropriately (including non-advisory employees)
  • Developing clearly defined criteria and procedures, setting out the specific point when someone will be assessed as being competent.
  • Measuring and reporting meaningful KPI’s which reflect the needs of the business and allow for measurement of potential risk to the business.
  • Maintaining appropriate records to evidence compliance with the FCA’s Training and Competency requirements, documenting all aspects, from the recruitment of individuals, induction and initial training, through to attaining and maintaining competency.
  • Ensuring all staff (including new staff) are aware of the firm’s complaints handling procedures.
  • As instructed by the Head of Compliance, review any complaints against the firm and deal with them in accordance with the Regulator’s complaints handling rules

Our ideal candidate for the Training & Competence Supervisor role:

  • Has a background in IFA or Mortgage related work
  • Has significant experience of delivering training, preferably relating to compliance within Financial Services
  • Has an in-depth understanding of current UK Financial Services regulations
  • Holding a Level 4 Diploma in Regulated Financial Planning would be highly desirable

If you have the skills, qualifications, knowledge and experience we’re looking for, you live in or can commute to Birmingham and you’re interested in the Training & Competence Supervisor position, 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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