Compliance Officer

4 months ago

Nottingham, United Kingdom Pendragon PLC Full time

**Compliance Officer**

**Pendragon PLC**

**Salary of up to £26,000 dependent on experience with pension, critical illness, life assurance, 23 days holiday, plus bank holidays, exclusive company discounts on used car purchases, leasing deals and aftersales service.**

Reporting into the Training & Competence (T&C) Supervisor, the role of the Compliance Officer is instrumental in ensuring that the firms advisers remain competent to sell finance and general insurance products.

You’ll be part of an experienced team of T&C executives who conduct competency assessments on Regulated Associates across Stratstone, Evans Halshaw and Car Store dealerships. You’ll also be working closely with departments including Learning & Development, Finance & Insurance and the wider Compliance team to ensure that the Training & Competency scheme is executed in line with expectations.

Although you must have the ability to travel across the UK, a hybrid working model is currently in operation giving you the flexibility to work from home, central head office or from one of our 130 dealerships.

**Position Responsibilities & Accountabilities**:
Provide attaining and maintaining competence second line supervision for a defined group of individuals performing FCA regulated activity within the company by:

- Completing competency assessments, providing action plans, feedback and coaching as appropriate
- Creating and updating technical and skills-based assessments along with supporting documentation
- Accurately recording and, where appropriate, following up your findings
- Providing feedback and coaching (on a 1:1 or group basis) in relation to learning needs identified from appropriate T&C Management Information
- Assisting in the development, support and maintenance of all firm T&C schemes and its documentation, including the policy and various electronic systems/forms
- Ensuring appropriate stakeholders have access to accurate Key Performance Indicators
- Collaborating with other departments to create a culture of compliance
- Completing root cause investigations to assist the wider business in understanding the root causes of non-compliance
- Educating associates on not only the regulations, but also the impact on the organisation if these aren't complied with
- Keeping up to date with, and understanding relevant laws and regulations
- Assisting with the wider Compliance function as required

**Knowledge & Skills Required**:

- Experience in selling finance and insurance, or working in a FCA regulated firm
- Good understanding of FCA principles/rules/guidance including TCF, ICOBS, T&C etc
- Excellent communication skills, both written and verbal
- Critical problem-solving ability
- Ability to work independently and with mínimal supervision
- Excellent planning and organisational skills
- Ability to work to tight deadlines
- Experience of selling FCA regulated products and services in an automotive/retail environment would be advantageous
- We offer fantastic development programmes for all team members who are committed and want to progress and fast track their career within an exciting and fast-paced industry. Alongside that, we have fantastic benefits including a wide variety of discounts.

**Job Types**: Full-time, Permanent

**Salary**: Up to £26,000.00 per year

**Benefits**:

- Company events
- Company pension
- Cycle to work scheme
- Employee discount
- On-site parking
- Referral programme
- Sick pay
- Store discount
- Work from home

Schedule:

- Monday to Friday

Work Location: Hybrid remote in Nottingham

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