Compliance and Training Director

3 days ago


Horsham, West Sussex, United Kingdom ENGINEERINGUK Full time

About ENGINEERINGUK

We are a leading provider of proprietary solutions, covering regulatory, platform, and investment services.

Our award-winning technology and support services help high-quality financial advisers meet and exceed their goals.

We provide access to higher quality solutions, making it easier for them to achieve peace of mind.

With our own Financial Advice business, we help families find solutions to meet their needs and aspirations.

Job Role
  • Maintain up-to-date knowledge of regulatory developments.
  • Oversee all aspects of oversight competently and within desired timescales.
  • Closely monitor AR firms, ensuring compliance with regulatory rules.
  • Liaise effectively with senior management on regulatory issues.
Responsibilities
  • Conduct regular file reviews, accurately recording findings and mitigating associated risks.
  • Review KPIs regularly, identifying adverse trends/risks.
  • Test approved persons in respect of product knowledge and selling practices.
Requirements
  • Detailed knowledge of FCA rules and their interpretation/application.
  • Ability to train and motivate others while remaining flexible/adaptable.
  • Highly developed analytical, observational, and communication skills.
Benefits

You will have the opportunity to work with a cutting-edge software and hardware environment.

Our campus has an on-site restaurant, coffee shop, and gym, providing a great work-life balance.

A dedicated shuttle bus is available for commuters to Horsham's main line train station.

Estimate Salary: £55,000 - £70,000 per annum



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