Our client is a well established firm who put clients at the heart of everything they do.
To provide support to the Head of Regulatory Standards by conducting Focused Audits of the activities of individuals and firms where there is evidence of the Firm or Individual being of a risk to the Company arising from their activities.
To conduct Induction, Monitoring, Investigation, Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions or directions agreed by the Head of Regulatory Standards according to individual circumstances, and accurately recorded outcomes on the in-house systems. These visits may be on site around the UK or conducted remotely from the Horsham office.
To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements, and identify and require remedial action from members firms where necessary.
To identify any Breaches or Misconduct by firms and individual and report any training/compliance failures to the Head of Regulatory Standards.
To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of each individual within the firm and an overall risk assessment of the firm based upon the findings of any audit.
Level 4 Diploma in Financial Planning (Essential)
Experience within a Regulated Financial Services Company for at least 12 months is essential.
A compliance or paraplanning role within a regulated firm is desirable.
Working knowledge of the FCA Rules.
Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO).
Working knowledge of the On-Line Partnership Group Compliance Manual (training given).
Working knowledge of the financial services industry, products and risks.
Working knowledge of a Compliant Sales Process and Disclosure requirements, especially in relation to Defined Benefit Occupational Scheme Transfers.
Demonstrate sound analytical skills with high attention to detail.
Demonstrate sound IT Skills with particular regard to Word Processing, Spreadsheets and Email.
Demonstrate good report writing skills, including the use of plain English.
A confident individual possessing a sound systematic and methodical approach to work while under pressure is essential.
The ability to communicate at all levels, in person and in all media types, sensitively and effectively.
Ability to work independently and on their own initiative, and as part of a team.