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Compliance
1 week ago
T & C Supervisor - Horsham - to £55k (dependent on experience) - Hybrid
Award-winning company based in Horsham, with the client's interests central to decision making and Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients,including those who may be more vulnerable than others.
- General responsibilities_
- Keep uptodate with regulatory and industry developments
- Maintain a specified span of control of up to 40 Registered Individuals, managing and scheduling all aspects of oversight competently and within desired timescales
- Monitor AR firms, coaching and mentoring approved persons both remotely and onsite, to ensure compliance with both regulatory rules and Network procedures
- Liaise effectively with senior management in respect of regulatory and Network issues
- Assist the Compliance Director in providing a timely response to requests for information from the FCA
- Assist in making all appropriate notifications to the FCA
- Compliance monitoring responsibilities_
- Undertake appropriate file reviews, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks
- Undertake regular KPI reviews, ensuring that KPI data and management information in respect of AR firms is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
- Test approved persons according to scheme requirements in respect of product knowledge and appropriate selling practices, and provide relevant feedback and training where necessary
- Test and supervise new joiners to AR firms, ensuring that supervision and formal signoff procedures are applied as appropriate
- The knowledge, experience and qualifications you need
- Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired
- Ability to train and motivate others whilst remaining flexible/adaptable
- Highly developed analytical, observational and communication skills
- The knowledge, experience and qualifications that will help_
- L6 Advanced Diploma working towards Chartered Status
- J07 Supervision in a Regulated Environment
- Specialist qualifications:
- Equity Release/lifetime mortgages
- ER1 & HR1 or equivalent.
Occupational pensions
- Combination of J04, J05 & AF3 or equivalent.
Long Term Care
- CF
- Mortgages
- CeMAP/MAQ/CF
- Single share based investments
- L4 diploma + IMC or securities gap fill
- Significant compliance experience within the financial services, preferably in an investment or insurance environment. An indepth understanding of FCA/PRA regulatory expectations.
- Experience working within a network of Financial Advisers
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