Financial Services Expert
3 days ago
About the Company
Austin Fraser is a leading recruitment agency specialising in Financial Services jobs. We are committed to providing exceptional service to our clients and candidates.
The Role
We are seeking a highly skilled Regulatory Compliance Supervisor to join our Financial Services Compliance Department in Horsham. As a key member of the team, you will be responsible for ensuring adherence to regulatory requirements and fostering a positive compliance culture across the organisation.
Your Responsibilities
You will be instrumental in helping firms deliver robust and repeatable best practices and in identifying and mitigating risk. Key tasks include:
- Applying a risk-based and common-sense approach to the compliance monitoring programme.
- Conducting focused audit visits of individuals and firms where there is evidence of risk to the company arising from their activities, either on-site around the UK or remotely from the Horsham office.
- Reviewing client files to confirm suitability, good consumer outcomes, and adherence to regulatory and company requirements, identifying and requiring remedial action from member firms where necessary.
- Undertaking due diligence on product providers and mortgage lenders following requests to be added to the Security List.
- Ensuring that financial promotions are approved in accordance with FCA rules and aiding firms in understanding and applying regulatory guidelines on advertising and social media.
- Handling consumer complaints in a fair and unbiased manner, in accordance with regulatory requirements and in-house procedures, and documenting these effectively to allow root cause analysis to support the continued improvement of consumer outcomes for the company.
Your Requirements
To be successful in this role, you will need:
- A Chartered Insurance Institute (CII) Certificate in Financial Planning or equivalent.
- A Chartered Insurance Institute (CII) Diploma in Regulated Financial Planning or working towards.
- Project workstream experience would be beneficial.
- A willingness to undertake training and progress personal development.
What We Offer
This is an excellent opportunity to work with Austin Fraser and contribute to the success of the Financial Services Compliance Department. The estimated salary for this position is £40k per annum, commensurate with experience.
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