Compliance Officer
- Employer
- Confidential
- Location
- Leicester
- Salary
- 20000.00 - 22000.00 GBP Annual
- Closing date
- 20 Jan 2021
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
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Do you have experience in reviewing members by assessing financial documents to establish an individual's credit 'risk' and the potential impact for poor customer outcomes
Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.
Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers by means of a designated remote computer system.
Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
Maintain a record of all decisions relating to the use of financial promotions so as to provide an audit trail for inspection by the regulator or other agency.
CeMAP/equivalent professional financial services qualification or willingness to work towards this.
Minimum 2 years of experience in a similar role within the financial services sector
Experience of working under pressure, prioritising and working to tight deadlines
Competent on Microsoft office suite i.e. excel, word etc.
Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
Demonstrable supervisory skills
The ability to analyse information with a view to making informed decisions
Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
Good team player, but with a definite ability to work under own initiative
Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.
Tate is acting as an Employment Business in relation to this vacancy
Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.
Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers by means of a designated remote computer system.
Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
Maintain a record of all decisions relating to the use of financial promotions so as to provide an audit trail for inspection by the regulator or other agency.
CeMAP/equivalent professional financial services qualification or willingness to work towards this.
Minimum 2 years of experience in a similar role within the financial services sector
Experience of working under pressure, prioritising and working to tight deadlines
Competent on Microsoft office suite i.e. excel, word etc.
Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
Demonstrable supervisory skills
The ability to analyse information with a view to making informed decisions
Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
Good team player, but with a definite ability to work under own initiative
Please be aware this advert will remain open until the vacancy has been filled. Interviews will take place throughout this period, therefore we encourage you to apply early to avoid disappointment.
Tate is acting as an Employment Business in relation to this vacancy
You need to sign in or create an account to save a job.
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