Compliance Officer, Leeds

Financial Services Compliance vacancy in Leeds. Our Client is a well recognised IFA Organisation and based in Central Leeds. They are now looking to meet with an experienced Compliance Officer. 

Purpose of the Role:
•To provide support to the Compliance Director with the cultural integration, management and development of the compliance department’s profile within the business. 
•To maintain and develop procedures to show adherence with the principles and the rules of the FSA, and which promote the concept of "Treating Customers Fairly" across the Group. 
•To provide guidance and support to Advisers, Sales Managers and Directors to ensure close adherence to compliance, training and competence and anti-money laundering procedures.

Principle Accountabilities:
•Oversee the regular monitoring of adviser’s client files by an external consultant to ensure the remedial action is correctly documented. 
•Review financial promotions and stationery.
•Assist in the interpretation of current regulations and act as a business enabler.
•Manage and develop risk based monitoring of advisers including KPIs, CPD and file reviews.
•Assist in the implementation of TCF across the group.
•Visit the regional branches of the Group on an ad hoc basis to conduct audits, and ensure compliance with FSA regulations, whilst inspiring a positive compliance culture.
•Provide support in the induction process for new employees to include ensuring the necessary regulatory approvals are in place, training undertaken and written declarations received and documented. 
•Assist with the resolution of complaints.
•As part of a small compliance team other compliance duties and project work will be undertaken, as required.

Experience Required:
•A good understanding/working knowledge of the FSA Handbook and the Anti-money laundering guidance. 
•The ability to prioritise own workload, be self-motivated, organised and disciplined.
•Able to work as part of a team, but also be comfortable working in isolation, as necessary.
•Strong interpersonal and communication skills at all levels.
•Experience of working in an "adviser-facing" role is desirable.
•Has the ability to understand the business needs of a growing firm of independent financial advisers.
•Has good IT skills, in particular Word, Excel and Outlook.

Qualifications:

* Minimum requirement is FPC qualified.

There is also a Discretionary Bonus Payable along with a Benefits Package.

To apply for this position, please click here.

Compliance Adviser, Leeds

Financial Service Compliance Vacancy: Specialist Compliance Monitoring Adviser, Leeds. Our Client is well known to the IFA / Financial Services Market. They are now looking to meet with an experienced Compliance Professional who is used to dealing with IFA's, based in the Leeds area. The Purpose of The Role: Is to ensure our customers provide compliant advice to consumers, with a main focus on advice deemed to be specialist, complex and/or high-risk business, as well as supporting other advisory processes which might involve quality and themed reviews and Regulator driven projects. The ideal candidate must have the following essential qualifications and experience. Essential Qualifications: Diploma in Financial Services (QCF Level 4 qualified) To include: CF1, 3, 4 and 5 (or equivalent) CeMap (or equivalent) CF7 or CELM with HR1 or ER1 CF8 (or equivalent) J05 (or equivalent) AF1 (or equivalent) AF3 (or equivalent) Essential experience: Experience of advice review checking specialist pension advice (i.e. Occupational Pension Transfers, Opt Outs, Retirement Options: Drawdown, Phased etc) As a minimum 6 months experience of working in a specialist pension environment (i.e. Pension Specialist Adviser / Pension Specialist File Checker) There is also an excellent benefits package available. To apply please click here.

Financial Services Compliance Vacancy: Past Business Review Project Manager, Leeds

Financial Services firm in Leeds has a Compliance vacancy for a Past Business Review Project Manager.

Our Client is well known within the Financial Services Industry. They are looking to meet with a Compliance Professional  who posesses good all-round Financial Services experience with good product knowledge and who also has experience gained in a similar project.

Job Purpose:

The Project Manager is responsible for managing the implementation of and the delivery of Our Clients PBR in line with the FSA Expectations. Taking into account the principles of Treating Customers Fairly and with due regard to the requirements of Executive and Board Members in delivering this project with the specified timeframes agreed.

Scope:

The PBR will be on a risk based approach and the purpose of the Project will be to consider the assessment of the suitability of advice and compliance with regulatory standards, with specific focus on the 'Unsuitable Outcomes’ highlighted by the FSA.  Should any 'Unsuitable’ cases be identified these will be fully investigated and analysed as to whether clients have suffered financial loss as a result.

Key Responsibilities:Knowledge, Skills and Experience:

•Manages internal and external client expectations for multiple or large-scale projects
•Continually seizes opportunities to engage with Senior Management and other areas of the firm in respect of updating the business on Past Business Reviews.
•Ensure compliance with contract scope, terms and conditions and successfully managed scope and scope changes Internal Operations
•Recognises areas for internal improvement and develops plans for implementation
•Possess excellent communication and interpersonal skills
•Facilitate timely decisions to maintain project commitments and manage expectations
•Maintain trusted relationships
•Identify project risks early and provide timely recommendations for risk avoidance
•Maintain complete control of project scope, schedule, resources, risk and issues
•Financial Planning Certificates 1, 2 & 3 (CF 1-5)

Interested Candidates should submit their CV in Confidence by clicking here.

Calling All Compliance Professionals!

Financial Services Compliance professionals are very much in demand at the moment with IFA Life Jobs seeing a large increase in the number of Compliance vacancies being advertised.  We would very much like Compliance professionals of all levels of experience to contact us and register their CV if they are considering a job move and look at the roles available and to apply for any that may be of interest.

IFA Life Jobs - Compliance Vacancies Nationwide

Search and Apply for the latest Financial Services Compliance jobs at IFA Life Jobs. Compliance roles encompassing all levels of experience and in all areas of the UK. Register your CV today and find your next Compliance job with IFA Life Jobs.