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Compliance Operations Officer

4 months ago

Horsforth, United Kingdom Tenet Full time

**_Salary up to £30, 000 per annum dependent on skills, knowledge and experience._**

We are currently looking for a Compliance Operations Officer to join our Oversight & Insight Team.Based at our **Leeds Office,**this is a full time opportunity (working 35 hours per week) where we operate a hybrid working model providing a balance of home and office working.

In this role you will provide Oversight support for the assessment and monitoring of Appointed Representatives (AR’s) and RI’s to establish whether they meet Tenet standards.

**Why is Tenet a great company to work for?**

At the Tenet we think it's really important our people enjoy coming to work. We're a fun, friendly, flexible employer and we were delighted to make it into the 2020 Top 75 Places to Work in Yorkshire and the Humber. We have also been awarded a 1-star accreditationby Best Companies for having high levels of employee engagement. We like to work hard, and play hard, and our performance related pay structure means the more you put in, the more you get back

In terms of what we do, we are an award winning Independent Financial Adviser support group with over 25 years industry experience. We provide a wide range of services that enable us to provide quality financial advice and services to meet the requirementsof our clients.

**What you’ll be getting up to in more detail**:

- Assessing and manage changes to AR and RI authorisations through to completion
- Managing any AR and RI Network exits through to closure, ensuring all contractual and regulatory requirements are met
- Liaising and communicate effectively with internal and external stakeholders
- Providing timely and relevant updates, both verbal and written, to Management
- Maintaining accurate and timely reporting and record keeping
- Ensuring Regulatory objectives are being met and good customer outcomes provided
- Identifying instances of non-adherence to policy, and escalate accordingly
- Assisting with risk based thematic monitoring reviews and investigations

**You will be able to demonstrate the following skillsets**:
5 GCSE’s grades 4 or above (A-C) including Maths and English

Financial Services experience

Self motivated

Ability to identify and escalate issues

Ability to manage own workloads effectively

Analytical skills

Verbal and written communication skills

Ability to build key relationships internally and externally

**We'd love to see**:
Level 4 diploma and Cemap or progress towards

**Some of the benefits our people love are**:

- 35 hour working week;
- Half day holiday for your birthday;
- An annual performance-related bonus and salary review;
- 25 days holiday as standard, rising to 28 with length of service (and the option to buy or sell up to 5 days), PLUS bank holidays;
- Access to our flexible benefits and staff discounts platform, TenetFLEX;
- 5% Employer Pension Contributions, rising to 7.5% with length of service
- Company-funded Income Protection and Life Assurance Cover;
- Enhanced Maternity and Paternity policies;
- Access to our free Employee Assistance Provider (EAP);
- Fee-Free Financial Advice, including mortgages and insurance;
If this role is of interest and you think you have the relevant skills and experience, we'd absolutely love to hear from you