Compliance Partner

2 weeks ago

Southampton, United Kingdom Hays Specialist Recruitment Limited Full time

Your new companyA financial services organisation located in Hampshire is actively seeking a Firm Compliance Partner. This is an exciting opportunity to become a part of a team of compliance professionals who will establish a strong and comprehensive relationship with our AR Firm Principals. They will understand their businesses and work with them to ensure that their firms and networks remain secure.Your new roleAs a Firm Compliance Partner, your role is to oversee regulatory compliance and ensure that appointed representative firms and registered individuals treat customers fairly.The following tasks are part of risk management and supervision activities:

  • Identifying and resolving risks related to customers, regulations, reputation, and operations.
  • Managing high-risk areas within the network's acceptable level of risk.
  • Investigating potential risks through supervisory activities. - Conducting inspection visits and producing reports.
  • Providing coaching and feedback to improve the quality of work.
  • Identifying risks and escalating them to the Supervision and Oversight Manager when necessary.

What you'll need to succeed

  • Experienced in field supervision or compliance monitoring (3-5 years minimum)
  • Competent assessor of adviser competence who can deliver feedback
  • Confident communicator, particularly skilled in questioning, and able to display sound judgement when assessing risks
  • Experience in Network/National and IFA/restricted advice models and QCF Level 4 or equivalent Compliance & Risk qualification

What you'll get in return

  • Salary Comparative to Experience
  • Hybrid working
  • Bonus
  • Pension Scheme - A 10% non-contributory company pension scheme that can be boosted through personal contributions
  • 26-day holiday
  • Private Medical Insurance - Single cover as standard. Cover can be increased at your own cost.
  • Life Assurance - 4x your salary. Cover can be increased at your own cost.

What you need to do nowIf you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

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