Oversight Audit Executive

2 weeks ago

Bristol, Bristol, United Kingdom Emponics Full time

Our client based in Bristol at Emersons Green near the junction of the M4 and M32 ( so commutable from Bristol ,Bath ,Chippenham ) are experts in the compliance industry; focussing mainly on the Motor Trade and Travel . They have one of the UK's largest regulatory networks with many retail sites across the UK benefiting from a range of Finance and Insurance services.

They are looking to recruit an Oversight Executive to conduct remote audit oversight audits to their customers in the Motor and travel Trade . £32,000plus £200 monthly bonus

By providing Appointed Representative status, they shoulder the burden of compliance ( of being Directly Authorised by the Financial Conduct Authority (FCA) ) so their customers can concentrate on running their day to day businesses .

Purpose of the role:

Conduct remote oversight audits of network members on a risk-based approach, producing detailed reports based on the findings and setting appropriate action plans to mitigate any risks and customer harm.

Support the Oversight Department field team with pre and post audit file check reviews to assess the compliance of a motor dealers regulatory sales process.

Key Deliverables:

Duties to include but are not limited to:


• Taking direct responsibility and providing a comprehensive first-class account management service to support both existing and new network members of the business.


• Conducting file checks on a risk-based approach to assess the compliance of a motor dealers regulatory sales process. Ensuring that customers are provided with the correct documentation at the right time. Where discrepancies are highlighted then remedial actions will be implemented as required to help mitigate any potential customer harm.


• Conducting remote oversight audits for motor network members, effectively at the required frequency and in line with company policies, producing detailed reports based on the findings and setting appropriate action plans to mitigate any potential customer harm or other identified risks.


• Delivery of high quality, professional training and development to network members remotely in line with company processes as identified via oversight audits, internal checks or as requested by the business or the Network Member.


• Conducting remote Framework set up visits for Network Members, including Approved Person / Senior Manager Governance, staff induction training including system demonstrations using the relevant framework document to evidence the meeting and to set agreed action plans as appropriate.


• Setting appropriate actions based on the different visit types completed, ensuring that actions are reviewed and completed by their due date with no RED actions going overdue.


• Generating income from existing network members as well as Identifying opportunities and making the sales department aware using the sales referral form of where there may be an opportunity for them to obtain additional business.

Critical Competencies:


• Be able to understand and effectively convey relevant regulation and legislation from the Financial Conduct Authority (ICOBS / CONC)


• Manage customer relationships with a professional approach.


• Provide excellent customer service.


• Have good self-presentation and excellent inter-personal skills.


• Readily accept responsibility for your work.


• Ensure work is completed to internal procedures and external regulatory requirements.


• Able to make good decisions by using information effectively.


• Self-disciplined with excellent time management skills.


• Possess exceptional attention to detail skills.


• Be highly motivated with the ability to work independently.


• The ability to work effectively to deadlines.


• Good organisational and administrative skills.


• A strong communicator, able to handle objections, negotiate and close decision makers.


• The ability to relate to a wide range of people from Approved Persons / senior company

management to Sales Executives and Administrators.


• Excellent presentation skills via video call.


• The ability to prioritise and manage several different tasks at once.

Desirable Skills and Experience:

At least 2 years previous experience working in an audit / oversight capacity or in the motor industry.

Understanding of the Motor industry sector.

Excellent Computer skills (Excel, OneDrive, Outlook)

Able to work effectively independently and as part of a remote based team.

Other Significant Role Requirements:


• Oversight Executives need to have a good understanding of legislation, as well as an excellent knowledge of the company, regulation and the products or service they advise on and sell.


• Always Comply with the FCA's (and other applicable regulators) principles, commitments and codes of practice.


• To adhere to the ethos of the FCA's Consumer Duty in all work activity.


• Must achieve the minimum level of competency for the role relating to company, regulatory and legal standards, as defined by management.


• Adhere to all Company Policies and Procedures, including Health & Safety, Equal Opportunities, Data Protection, Code of Conduct, Security, IT.


• Ensure awareness of and adopt any changes in regulatory practice as advised by management.


• Maintain a log of personal continuing professional development (CPD) and ensure a minimum of 20 hours a year is completed.


• Adhere to the individual Conduct Rules

Training and Development

We pride ourselves on offering continuous training & development along with career progression opportunities for all employees. Appropriate training will be provided as the role demands ensuring the individual is set-up for success.A truly diverse place to workCo. celebrates the diversity of our people and we welcome applications from everyone. We believe that having a culture of inclusion is essential in delivering good results. Attracting, retaining, and developing a diverse workforce where employees feel valued, respected and empowered

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