Compliance Officer / Training and Competence Supervisor
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South Leicestershire (our ref AL1233)
Salary £32,000 - £35,000 plus generous benefits inc 10% non cont pension, DIS and parking
Full-time or Part Time considered
An office based role, providing Training and Competence supervision and assisting the Senior Compliance Manager for a medium sized, friendly Independent Financial Services company based in South Leicestershire. The role will involve Training and Competence support for a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at Training & Competence (T&C) monthly meetings.
Experience in wealth management / financial services is essential, along with enthusiasm and commitment in delivering a first-class service to colleagues and helping ensure that they in turn deliver a first-class service to our clients. CII Diploma Level 4 (or equivalent) is a minimum requirement.
Responsibilities of the role:
* Train and coach experienced and new IFAs on the Company Advice process.
* Observe and provide feedback to advisers using the Company Observation Guide.
* Support and develop trainee IFAs as required
* Check trainee advisers’ advice pre-sale, until signed off as per the T&C Scheme.
* Supervise a team of IFAs with various levels of experience and skills and complete 1-1’s as required.
* Summarise findings to discuss at monthly Compliance T&C meeting and feedback to the compliance team if areas not meeting standards are identified.
* Support the Senior Compliance Manager when required.
* Other special projects of investigation and compliance support when required.
* Comply with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
* Comply with the relevant compliance, TCF, T&C and, financial crime (anti-money laundering, data security, anti-bribery, fraud and corruption) procedures of the company at all times.
* Keep up to date with all relevant product, legislative and technical changes, as required.
Ideal person, skills and experience:
* Someone who has worked in a wealth management / financial services organisation and who understands regulations/compliance and ideally has supervised Retail Investment Advisers
* A working knowledge of Microsoft Word, Excel and Outlook with the ability to get to grips with what might be an unfamiliar software package e.g., the Companys back-office system (X Plan) and Risk Profiling Tools.
* Well-presented, self-motivated and organised, with a good work ethic.
* Will take personal responsibility for the quality and timeliness of work and can achieve results with minimal supervision.
* Able to stay focused on tasks, despite distractions and interruptions.
* Be an integral part of the team – a good communicator, willing to input new ideas and suggestions to improve process.
* Flexible in their approach to work and processes. The right candidate should be able to adapt/evolve as working practices change.
* Diploma level 4 qualified.
If this role is of interest, please apply with an up to date CV. We aim to respond to all applications within 10 days. By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us. Full Privacy Notice can be found on our website
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