Regulatory Compliance Professional

3 weeks ago


Leicester, Leicester, United Kingdom Premier Jobs UK Full time

About the Role

We are seeking a highly skilled Regulatory Compliance Professional to join our team as a T&C Supervisor / Compliance Support in South Leicester. This is an excellent opportunity for someone with experience in compliance for financial services to utilize their knowledge and skills to support our Senior Compliance Manager.

About the Company

Premier Jobs UK provides independent advice to clients on all aspects of financial planning. Our company has a growing team who enjoy working together to support the needs of their clients. Most of our team members are long-serving employees who appreciate being part of our business.

Job Description

In this role, you will be assisting our Senior Compliance Manager by providing training and competence support to our small team of Independent Financial Advisors and work on compliance projects. You will be required to support new and existing IFAs on ensuring they adhere to the company and FCA guidelines through role-plays, 1:1s, observations, etc. Additionally, you will assist the compliance team in identifying regulatory risks and designing internal controls to ensure compliance is maintained across the business.

Requirements

  • You should have experience within compliance for financial services and understand how Financial Advisors and Mortgage Advisors operate.
  • This could suit a Financial Advisor or Mortgage Advisor looking to transition into a compliance-focused role.

Salary

The salary for this position is approximately £40,000 per annum.

About the Benefits

We offer a competitive salary, along with opportunities for professional growth and development. Our company values its employees and strives to create a positive work environment.



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