Regulatory Compliance Advisor
- Employer
- Confidential
- Location
- Lancashire
- Salary
- 20000.00 - 40000.00 GBP Annual + Pension, Commission
- Closing date
- 30 Apr 2021
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
You need to sign in or create an account to save a job.
My client is a compliance consultancy firm and they are recruiting an experienced compliance officer with a minimum of two years' experience working within the Consumer Credit and Financial Services Industry under the Financial Conduct Authority.
The ideal candidate should have experience working within/for multiple types of regulated firms and their knowledge should include:
Credit Broking
Insurance Broking
Mortgage Broking
Consumer Hire
Consumer Credit Lending
Debt Counselling
Debt Collecting & Debt Administration
Financial Products & Services
Claims Management
As a member of their team, you will be responsible for completing work for our clients, these include but are not limited to, FCA Applications, Retained Services, Ad-hoc consultancy, Call Monitoring and file reviews
They would expect all candidates to have completed all the below tasks in their day to day workload
Financial Promotions Reviews
FCA Complaints Handling
Systems and Controls (drafting policies and procedures)
GABRIEL reporting
Senior Managers and Certification Regime
AML and Financial Crime
GDPR & Data Protection
As a member of the regulatory team at you will be provided with a comprehensive plan of progression though our Learning and Development Scheme. All employees who join The Company have an established career path that sets the foundation for their own skills and abilities development, this includes knowledge, customer service and communication.
You must be educated to degree level and ideally you will have gained your degree in any of the following disciplines: Law, Finance or Business, however other degrees and relevant qualifications will be considered.
Must Have
FCA Rules Knowledge
Compliance Experience
Financial Service Knowledge
Responsibilities
Below are the key areas you will be required to learn within your development, these are designed to aid your progression, your knowledge and soft skills -
Gaining knowledge and understanding of key areas of the Financial Conduct Authority ("FCA") handbook
Researching compliance/regulatory topics to build and maintain, knowledge and soft skills
Horizon scanning for any future regulatory changes and providing proactive guidance to clients
Creating and reviewing internal and external core documentation in line with company standards
Dealing with clients and regulators in a professional manner
Maintain internal company records to the set standards
External client audits
Identifying regulatory risks within businesses and providing remedial action
Identifying alternative business strategy which would fulfil the regulator requirements
Creating complex framework to fit client's business models
Assisting with ongoing regulatory reporting
Organising your own workload to ensure your clients hours are being fulfilled
Responsibility for completing tasks set by colleagues to the timescales provided
Internal project and training delivery
Client call monitoring
Drafting online FCA applications and assisting in the application process
Completing internal/peer quality checks
Identifying opportunities with clients and recommendation of additional products and services we could possibly help them with
Skills
Employees will require a vast array of skills. These include the ability to:
Prioritise tasks receive by clients in a timely manner
Maintain excellent customer service and communicate in a client friendly and professional manner
Delegate tasks to team members and work collaboratively
Follow internal processes and procedures
Organise own workload and timescales for this to be complete
Manage your time effectively in order to adhere to deadlines
Undertake independent research
Communicate confidently to clients and stakeholders, both verbally and in written communications
The ideal candidate should have experience working within/for multiple types of regulated firms and their knowledge should include:
Credit Broking
Insurance Broking
Mortgage Broking
Consumer Hire
Consumer Credit Lending
Debt Counselling
Debt Collecting & Debt Administration
Financial Products & Services
Claims Management
As a member of their team, you will be responsible for completing work for our clients, these include but are not limited to, FCA Applications, Retained Services, Ad-hoc consultancy, Call Monitoring and file reviews
They would expect all candidates to have completed all the below tasks in their day to day workload
Financial Promotions Reviews
FCA Complaints Handling
Systems and Controls (drafting policies and procedures)
GABRIEL reporting
Senior Managers and Certification Regime
AML and Financial Crime
GDPR & Data Protection
As a member of the regulatory team at you will be provided with a comprehensive plan of progression though our Learning and Development Scheme. All employees who join The Company have an established career path that sets the foundation for their own skills and abilities development, this includes knowledge, customer service and communication.
You must be educated to degree level and ideally you will have gained your degree in any of the following disciplines: Law, Finance or Business, however other degrees and relevant qualifications will be considered.
Must Have
FCA Rules Knowledge
Compliance Experience
Financial Service Knowledge
Responsibilities
Below are the key areas you will be required to learn within your development, these are designed to aid your progression, your knowledge and soft skills -
Gaining knowledge and understanding of key areas of the Financial Conduct Authority ("FCA") handbook
Researching compliance/regulatory topics to build and maintain, knowledge and soft skills
Horizon scanning for any future regulatory changes and providing proactive guidance to clients
Creating and reviewing internal and external core documentation in line with company standards
Dealing with clients and regulators in a professional manner
Maintain internal company records to the set standards
External client audits
Identifying regulatory risks within businesses and providing remedial action
Identifying alternative business strategy which would fulfil the regulator requirements
Creating complex framework to fit client's business models
Assisting with ongoing regulatory reporting
Organising your own workload to ensure your clients hours are being fulfilled
Responsibility for completing tasks set by colleagues to the timescales provided
Internal project and training delivery
Client call monitoring
Drafting online FCA applications and assisting in the application process
Completing internal/peer quality checks
Identifying opportunities with clients and recommendation of additional products and services we could possibly help them with
Skills
Employees will require a vast array of skills. These include the ability to:
Prioritise tasks receive by clients in a timely manner
Maintain excellent customer service and communicate in a client friendly and professional manner
Delegate tasks to team members and work collaboratively
Follow internal processes and procedures
Organise own workload and timescales for this to be complete
Manage your time effectively in order to adhere to deadlines
Undertake independent research
Communicate confidently to clients and stakeholders, both verbally and in written communications
You need to sign in or create an account to save a job.
Get job alerts
Create a job alert and receive personalised job recommendations straight to your inbox.
Create alert