Compliance Professional

4 days ago

Coventry, Coventry, United Kingdom Talent Hire group Full time

This is an exciting opportunity to join a team of compliance professionals who will support the AR Firm Principles with understanding their business and working with them to ensure their firm and network remains safe.

You will have the opportunity to apply your knowledge and experience in working with the networks AR Firms to support them and develop action plans, as required.

  • As a Firm Governance Assessor, your role is to deliver regulatory oversight to appointed representative firms. The identification and resolution of customer, regulatory, reputational, and operational risks are a key component in establishing an effective control function.
  • You will work with AR Principals to help them achieve effective governance of their AR firms and advisors, whilst adhering to network standards. This will be achieved through a program of firm attestation reviews and firm governance assessments. You will identify areas of concern in a firm's current processes, set action plans and agree timescales for these to be rectified.
  • You will identify risks and escalate any identified concerns through to the Firm Oversight Manager, using the correct escalation channels and manage identified issues to conclusion.
  • This is a home-based remote firm oversight role, and you will be responsible for planning and managing your own workload as part of a highly skilled team.
Licences and Qualifications
  • You will be a confident communicator, particularly skilled in questioning and be able to display sound judgement when assessing risks and developing action plans. You will also have a strong analytical approach and an inquisitive nature.
  • You will bring a wealth of existing experience working within a compliance role and be competent in providing feedback to advisers/ firm principals.
  • Experience of Network/national and IFA restricted advice models and QCF Level 4 or equivalent.
  • A compliance and risk qualification is desirable

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