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Compliance Supervisor

2 months ago

Birmingham, Birmingham, United Kingdom Birchlake Recruitment Full time
Job Description

Role Purpose:

The role will facilitate and help deliver the firm's regulatory requirements as defined by the Financial Conduct Authority (FCA) and the business. You'll provide effective monitoring and control in the firm and to support the adherence of advisers and line management, whilst reporting shortcomings through the appropriate reporting lines.

A Key Responsibility:

Facilitating the effective induction for all new recruits, creating bespoke plans dependent upon the individuals qualifications, expertise, and previous experience. The overall target is to ensure prompt attainment of Compliance Approval Status (CAS) for all new starters.

Key Responsibilities:

  • Collating relevant data to provide sales management with accurate and meaningful data relating to adviser Risk, Assurance, and Governance (RAG) status, with detailed breakdown of rationale.
  • Meaningful and effective supervision of all amber and red advisers to ensure the business meets its requirements as set out in the regulatory manual and adheres to regulatory rules.
  • Desk-based supervision of green advisers, liaising with sales management and Quality Assurance (QA) team as necessary regarding coaching and development.

Required Skills & Knowledge:

  • Up-to-date knowledge of various regulatory rule books, particularly those relevant to the firm.
  • Good working knowledge of Information Output (IO) and application of extraction of Management Information (MI) required to ascertain Key Performance Indicator (KPI) data, MI reporting on all advisers.
  • Understanding of industry developments and the impact on the business.
  • IT literate, including all Microsoft Packages.
  • Good interpersonal relationship skills.
  • Positive team working and collaboration.
  • Well-organized, readily able to work to agreed, sometimes challenging deadlines.
  • Influencing – able to report to other business areas and members and where necessary influence behavior and attitudes to improve compliance and business practices.
  • Flexibility / adaptability – able to adapt to changes in the business and its practices and regulatory / legal amendments.
  • Drive own development – highly motivated to achieve work tasks and to assist with the management of their own development – knowledge and skills improvement.
  • Attention to detail – able to produce accurate and meaningful data required for RAG reporting and other MI as required by the Risk & Compliance Director.

Qualifications:

  • Minimum of 6 years' experience within a regulated or financial services environment, particularly in a training and competency environment.
  • Relevant industry qualifications, at least to QCA Level 4 or equivalent, and including H15/J07.
  • CeMAP, G60/AF3 are desirable.

Desirable:

  • Experience of working in a compliance or audit and risk function.
  • Previous experience of reviewing Occupational Pension Transfers or ETV, PIE exercises.
  • Working knowledge of business operations and practices.