Compliance and Training Specialist

3 weeks ago


Glen Parva, Leicestershire, United Kingdom Medlock Partners Ltd Full time

Company Overview

We are Medlock Partners Ltd, a credible Firm of Independent Financial Planners with a large presence throughout the Midlands.

Salary

The salary for this role is up to £35,000 per annum.

Job Description

This employed desk-based role provides Training and Competence supervision and assists the Senior Compliance Manager for a medium-sized, friendly Independent Financial Services company based in the Leicester area.

The role involves providing support to a number of Independent Financial Advisers (IFAs) and preparing KPI results to discuss at monthly meetings.

Key Responsibilities

  1. Check trainee advisers' advice pre-sale until signed off as per the T&C Scheme.
  2. Summarise findings to discuss at monthly Compliance T&C meeting.
  3. Feedback to the compliance team if areas not meeting standards are identified.
  4. Report any findings of non-compliance or issues that could cause client detriment to the Senior Compliance Manager and carry out remedial action promptly and appropriately.
  5. Support the Senior Compliance Manager when required.
  6. Participate in other special projects of investigation and compliance support when required.
  7. Ensure compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times.
  8. Adhere to the relevant procedures of the company at all times.

Benefits

Death in service
Fully funded staff events
Hybrid working

Others


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