Appointed Representative Oversight Manager

1 month ago

Clayton le Moors Lancashire, United Kingdom FRASERS GROUP FINANCIAL SERVICES Full time

At Frasers Group Financial Services, we are constantly evolving & transforming, and we now have an exciting and rewarding opportunity for anambitious Appointed Representative Oversight Manager to be instrumental in ensuring that the Appointed Representatives of Frasers Group companies are effectively onboarded and overseen to provide consistent assurance to FGFS senior management that the Appointed Representative network is compliant with regulatory requirements and are consistently providing good customer outcomes.

Key Responsibilities

  • Own the end-to-end due diligence process for new Appointed Representatives ('ARs'), including relationship management and training of fascia Approved Persons.
  • Where challenges in people, processes, systems and data are identified within the context of AR due diligence, work with FGFS and Appointed Representative stakeholders to ensure that any identified gaps are appropriately addressed (e.g. in respect of regulated complaints record keeping & handling).
  • Support the submission of AR notifications and associated Approved Person applications to the FCA.
  • Working with 1st line business owners and FGFS Risk & Compliance to ensure that robust Consumer Duty outcomes MI is available for all ARs.
  • Assist in the drafting of formal updates and recommendation papers for the FGFS Conduct Risk Forum and Executive Risk Oversight Committee.
  • Ongoing oversight and stakeholder management
  • Undertaking monthly reviews of complaints, online reviews, customer feedback and broader customer outcome MI to gain assurance (or otherwise) that all ARs are meeting the expectations under the Consumer Duty.
  • Supporting and undertaking quarterly risk-based mystery shopping exercises within AR physical premises, including (i) working with FGFS/Frasers Group data teams to automate the data collection & analysis process, and (ii) recommending a proposed sample population for the next quarter for approval through governance - balancing considerations of risk and strategic resource planning.
  • Working with the Frasers Plus account managers/L&D to optimise the in-store Frasers Plus model while ensuring that suitably robust risk-based oversight arrangements are maintained.
  • Overseeing training completion MI to ensure that AR colleagues/people are effectively trained to: (i) introduce the Frasers Plus product, and (ii) identify regulated complaints and action the same in accordance with the documented process.
  • Conducting regular Approved Person check in calls and regulatory updates to support Approved Person oversight and the continual professional development of the same.
  • Producing AR oversight packs for FGFS governance to ensure that any emerging risks in respect of the AR network's compliance (including from regulatory, conduct or resource perspectives.
Frasers Group Financial Services is ambitious, the business is growing quickly with the solid foundations of the wider Frasers Group supporting it. We have a lot of experienced colleagues who will tell you they love working here because of the great people and the opportunity to develop your career.

Frasers Group Financial Services is committed to delivering a positive colleague experience and to be able to make the most of it you need to immerse yourself into delivering on our principles:

  • Think without limits - Think fast, think fearlessly and take the team with you
  • Own it   and back yourself - own the basics, own your role and own the results
  • Be relevant -  Relevantto our people, our partners and the planet
As FGFS is within a regulated environment any offer is subject to satisfactory background checks including criminal record check, credit check, and employment references.
  • Extensive knowledge of the FCA's rules and handbook, including specific expertise in the Appointed Representatives Regime, SUP 12 and CONC.
  • Previous experience in risk/compliance roles within a mature financial services institution.
  • Extensive experience in senior stakeholder management and relationship building.
  • A proactive and solutions-focussed approach to work and problem solving.
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