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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.

Paraplanner

Kind Consultancy is working with a fast growing, national Financial Adviser organisation which is currently seeking a Paraplanner to join them in a full-time, permanent role paying £40,000 to £45,000 based on experience. The role can be based in their Lincolnshire, Merseyside or Berkshire offices, with a hybrid work model requiring 2 in-office days per week.

Key responsibilities of the Paraplanner role will include:

  • Accurately preparing suitability reports and letters to target deadlines
  • Undertaking comparative research in preparation of client recommendations
  • Completing technical research as part of the existing arrangement review process
  • Ensuring all client work is compliant and supported with relevant paperwork
  • Performing tax planning analysis
  • Producing and analysing cashflow modelling
  • Understanding clients’ overall financial position from Independent Financial Adviser (IFA) fact-finds
  • Discussing client objectives with the relevant IFA, identifying and obtaining necessary client information to prepare the required suitability checks
  • Ensuring all client queries are appropriately investigated and accurate responses given
  • Conducting annual reviews in line with service level agreements.
  • Delivering good client outcomes, comply with the relevant compliance, terms and conditions, and financial crime procedures (anti-money laundering, data security, anti-bribery, fraud, and corruption) of the firm at all times.
  • Keeping up to date with all relevant product, legislative, and technical changes.
  • Ensuring relevant continuing professional development (CPD) is maintained and recorded accurately

Our ideal candidate for the Paraplanner opportunity:

  • Must be Level 4 Diploma qualified
  • Is proficient in all Microsoft Office programs, especially Excel and Word
  • Has strong written and verbal communication skills, including excellent telephone manner
  • Is highly organised, with good planning and time management skills
  • Is accurate in all work, with consistently strong attention to detail

If you’re interested in the Paraplanner opportunity, have the necessary skills and qualifications and can commute to one of the three listed office locations, please apply with an up-to-date 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.

Mortgage Collections Officer

Kind Consultancy is working with a well established retail Financial Services business which is currently seeking a Mortgage Collections Officer to join their Mortgage Collections team in a full-time, permanent role with a hybrid work model (following a fully in-office training period) based out of their offices in the Nottingham area.

Reporting to the Mortgage Collections Team Leader, responsibilities of the Mortgage Collections Officer will include:

  • Acting as a Vulnerable Customer Specialist
  • Processing mortgage payments and redemptions
  • Undertake quality assurance checks of mortgage completions, retention of business completions and scanning
  • Handling arrears accounts, maintaining regular contact and providing support to customers where possible
  • Exercising a personal mandate in accordance with Company procedures
  • Reviewing concession requests and contract variation requests, providing accurate recommendations
  • Carrying out the unpaid Direct Debit process on a monthly basis
  • Producing quarterly arrears statements and 2 month+ arrears letters in line with regulatory requirements
  • Handling complaints as they arise in line with Company Policy & Procedures
  • Processing changes to customer accounts through the system and ensuring records are up to date

Our ideal candidate for the Mortgage Collections Officer opportunity:

  • Has previous experience of Collections and/or Arrears work – ideally 1+ years
  • Being CeMAP qualified with with a good knowledge of Mortgages and current Mortgage Lending legislation would be highly desirable
  • Must have experience of work within a regulated Financial Services environment
  • Is educated to A Level standard, holding 5 or more A-C GCSEs (or equivalent)

If you’re interested in the Mortgage Collections Officer opportunity and you have the skills, knowledge, experience and qualifications we’re looking for, 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.

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(+44) 121 643 2100

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enquiries@kindconsultancy.com

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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Registered Address: Kind Consultancy Ltd – St. James House St. James Square CHELTENHAM Gloucestershire, England GL50 3PR

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