Compliance Officer

2 weeks ago


Leicester, United Kingdom Lilium Direct Ltd Full time

We have an exciting opportunity for a Compliance Review Officer to join our team.

**Job Title**: Compliance Officer

**Location**: Leicester, LE19 1RJ

**Salary**: £18,000 - £25,000 per annum + Benefits (Listed below)

**Department / Section**: Compliance

**Reporting to**: Internal Compliance Manager

**Main purposes of job**
- Assessment of client files to ensure compliance with regulations and company standards
- Ensuring our Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes
- To provide compliant guidance and support to staff and Appointed Representatives
- To instruct and coach members in order to improve risk assessment ratings
- Accurately record any findings and corrective activity

**Key Tasks**
- Monitor and maintain FCA guidelines and regulatory obligations.
- Ensure Network standards are adhered to by Appointed Representatives and their Advisers, as per our internal sales processes and procedures.
- Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.
- Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
- Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
- Build strong relationships with key stakeholder, championing good customer outcomes.
- Provide appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
- Report wilful and uncorrected deficient advice and/or documentation and agree appropriate remedial action.
- To maintain ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager

**Skills / Qualifications**
- Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
- A good grounding and understanding of working within a Regulatory environment
- Demonstrable supervisory skills
- CeMAP / equivalent professional financial services qualification or willingness to work towards this.
- Excellent verbal and written communication skills
- The ability to analyse information with a view to making informed decisions
- Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
- Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
- Good team player, but with an ability to work under own initiative

**Experience Required**
- Minimum 2 years of experience in a similar role within the financial services sector
- Knowledge of systems of control and able to follow clearly defined procedures
- Experience of working under pressure, prioritising and working to tight deadlines
- Competent on Microsoft office suite i.e. excel, word etc.
- Excellent verbal and written communication skills

**Personal Qualities**

Highly self-motivated and with strong personal discipline to meet key objectives

Confident and assured manner when discussing regulatory matters, whilst maintaining an informative and consultative style

A real desire to provide support and to assist firms to stay safe in the business environment

**Benefits**:

- Additional holiday
- Company sick pay

**Next Steps**:
We look forward to hearing from you.



  • Leicester, United Kingdom TAGGED RESOURCES Full time

    Type: Permanent An experienced Compliance Administrator Officer with an understanding of ethical audit programs is needed to join an established clothing manufacturer and supplier to a variety of high street retailers and grocers.\Graduates welcome Supporting the business with the ethical compliance programme for the group, undertaking investigations...


  • Leicester, United Kingdom Cherrytree Residential Home Full time

    **Quality and Compliance Officer - Care Homes** **Location**: Multiple locations across East Midlands & East of England Are you a detail-oriented and experienced professional with a passion for ensuring quality standards and regulatory compliance? We are seeking a dedicated Quality and Compliance Officer to oversee and maintain the highest standards of...


  • Leicester, United Kingdom University of Leicester Recruitment Team Full time

    **About the role**: We have an exciting new opportunity for an experienced professional to join our Estates and Facilities Management division. You will have the opportunity to assist the Maintenance manager as well as the contract managers and technicians, ensuring all required contract and compliance systems and records are maintained. You will also hold...


  • Leicester, United Kingdom TAGGED RESOURCES Full time

    Location: Leicester Type: Permanent Industry: Ladieswear Job Ref: TGM1771 The Company: An experienced Compliance Administrator Officer with an understanding of ethical audit programs is needed to join an established clothing manufacturer and supplier to a variety of high street retailers and grocers.\u00a0 This is the perfect role for someone that is...


  • Leicester, United Kingdom Charnwood Commercial Bodies Full time

    **Job Summary**: We have a fantastic opportunity for a Fleet and Compliance Administrator to join our team. Charnwood Commercial Bodies are a growing commercial vehicle manufacturer who build an expanding range of vehicles including Lutons, Curtain Sides and Fridge Vans. We are looking for someone with experience of administration who is competent in...


  • Leicester, United Kingdom Office Angels Full time

    As the Regulation and Compliance Manager here are some of your duties Ability to prioritise workload for peer stakeholders to facilitate change management upon regulatory and compliance change management. To provide expertise in the development and validation of compliance models Support the identification and assessment of operational risk incidents,...


  • Leicester, United Kingdom Red Kite Waste Full time

    WASTE MANAGEMENT ENVIRONMENTAL COMPLIANCE MANAGER SPECIALIST REQUIRED TO ENSURE COMPANIES TRANSFER AND PROCESSING OPERATIONS ARE ENVIRONMENTALLY COMPLIANT WITHIN THEIR PERMIT Location: Luton and surrounding areas Role: Environmental Compliance Manager – Waste Management and Recycling You will ensure that waste material is transferred and processed in...


  • Leicester, United Kingdom Red Kite Waste Full time

    WASTE MANAGEMENT ENVIRONMENTAL COMPLIANCE MANAGER SPECIALIST REQUIRED TO ENSURE COMPANIES TRANSFER AND PROCESSING OPERATIONS ARE ENVIRONMENTALLY COMPLIANT WITHIN THEIR PERMIT Role: Environmental Compliance Manager – Waste Management and Recycling You will ensure that waste material is transferred and processed in accordance with the client’s waste...


  • Leicester, United Kingdom SF Group Full time

    Job Title: Senior Compliance Administrator Contract: Full Time, Permanent Location: North Leicester, Leicestershire **Salary**: £26,000- £30,000 Hours : 9:00am-5:00pm The Commercial Division of SF Recruitment are currently looking to recruit a Senior Compliance Officer To ensure compliance with regulatory requirements. Providing and recording...


  • Leicester, United Kingdom Macildowie Recruitment and Retention Full time

    **Vendor Compliance Analyst / Permanent/ £25,000 - £30,000/ Leicester / Hybrid** **Macildowie** are excited to be partnered with this growing organisation based in South Leicestershire who are looking to recruit for an experienced **Accounts Professional** for this newly created position in the business. The role would suit somebody from a **Senior...


  • Leicester, United Kingdom Recra Recruitment Solutions Ltd Full time

    With a focus on regulatory compliance and the implementation of exposure controls, you will work closely with clients to ensure a safe and healthy workplace. you will also conduct management systems audits and design training programs to promote worker health and safety. With a focus on regulatory compliance and the implementation of exposure controls, you...

  • Compliance Consultant

    13 hours ago


    Leicester, United Kingdom Recra Recruitment Solutions Ltd Full time

    With a focus on regulatory compliance and the implementation of exposure controls, you will work closely with clients to ensure a safe and healthy workplace. you will also conduct management systems audits and design training programs to promote worker health and safety. With a focus on regulatory compliance and the implementation of exposure controls, you...

  • Finance Officer

    4 days ago


    Leicester, United Kingdom Page Personnel Full time

    Fantastic varied role in Finance - Permanent position offering stability and progression **About Our Client**: My client is a reputable business in Leicester within the education sector, boasting over 20 sites across Leicester. It is dedicated to fostering an inclusive and supportive learning environment for thousands of students. This is a business suited...

  • Authorising Officer

    4 weeks ago


    Leicester, United Kingdom SISA Information Security Ltd Full time

    Authorising Officer (“AO”) will be to manage the sponsorship and compliance responsibilities within our UK business. You will be the main point of contact between the organization and UK Visas and Immigration Responsible for carrying out the day-to-day SMS activities **Job Types**: Full-time, Part-time, Permanent, Temporary contract, Fixed term...

  • Testing Officer

    4 weeks ago


    Leicester, United Kingdom GeoShield Ltd Full time

    **Company Information** Geoshield Ltd are the UK’s leading specialist in independent testing, validation and verification of systems designed to protect against hazardous ground gas ingress. Since 2015, construction and design standards internationally have begun to be restructured, with the aim of eliminating all possible factors that relate to the...

  • Examinations officer

    4 weeks ago


    Leicester, United Kingdom SF Recruitment Full time

    Examinations OfficerLeicesterStart ASAP - 4 weeks£13.53 - £15.21 The Professional services division at SF Recruitment are seeking Examinations Officers on a temporary basis, this role is to ensure the smooth operation of the examinations service for students and staff. We are seeking both Examination officers and senior Examinations Assistants and pay...

  • Part Time Cleaner

    1 week ago


    Leicester, United Kingdom Tennals Compliance LTD Full time

    A opportunity has arisen for a Cleaner to join a highly successful team within a dynamic and expanding National Company. We have a reputation for delivering quality installation, remedial repairs and planned maintenance works across a broad spectrum of private and commercial clients across the UK. **Are you looking for a new and rewarding challenge that...


  • Leicester, United Kingdom NFP People Limited Full time

    Trust Administration Officer Do you want to join an expanding service supporting charities? Are you an experienced, motivated administrator? We have an exciting opportunity for a Trust Administration Officer to join an expert Trust Administration service supporting charities, not for profit organisations and philanthropic projects. This rewarding role...


  • Leicester, United Kingdom NFP People Limited Full time

    Trust Administration Officer Do you want to join an expanding service supporting charities? Are you an experience, motivated administrator? We have an exciting opportunity for a Trust Administration Officer to join an expert Trust Administration service supporting charities, not for profit organisations and philanthropic projects. This rewarding role...

  • Examinations officer

    2 weeks ago


    Leicester, United Kingdom SF Recruitment Full time

    The Professional services division at SF Recruitment are seeking Examinations Officers on a temporary basis, this role is to ensure the smooth operation of the examinations service for students and staff. We are seeking both Examination officers and senior Examinations Assistants and pay depends upon level of experience. We anticipate this will be for a 4...