Compliance Officer

1 day ago

Leicester, United Kingdom Lilium Direct Ltd Full time

We have an exciting opportunity for a Compliance Review Officer to join our team.

**Job Title**: Compliance Officer

**Location**: Leicester, LE19 1RJ

**Salary**: £18,000 - £25,000 per annum + Benefits (Listed below)

**Department / Section**: Compliance

**Reporting to**: Internal Compliance Manager

**Main purposes of job**
- Assessment of client files to ensure compliance with regulations and company standards
- Ensuring our Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes
- To provide compliant guidance and support to staff and Appointed Representatives
- To instruct and coach members in order to improve risk assessment ratings
- Accurately record any findings and corrective activity

**Key Tasks**
- Monitor and maintain FCA guidelines and regulatory obligations.
- Ensure Network standards are adhered to by Appointed Representatives and their Advisers, as per our internal sales processes and procedures.
- Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system.
- Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
- Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
- Build strong relationships with key stakeholder, championing good customer outcomes.
- Provide appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested.
- Report wilful and uncorrected deficient advice and/or documentation and agree appropriate remedial action.
- To maintain ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager

**Skills / Qualifications**
- Able to demonstrate a suitable level of industry knowledge and experience to conduct the role
- A good grounding and understanding of working within a Regulatory environment
- Demonstrable supervisory skills
- CeMAP / equivalent professional financial services qualification or willingness to work towards this.
- Excellent verbal and written communication skills
- The ability to analyse information with a view to making informed decisions
- Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary
- Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties
- Good team player, but with an ability to work under own initiative

**Experience Required**
- Minimum 2 years of experience in a similar role within the financial services sector
- Knowledge of systems of control and able to follow clearly defined procedures
- Experience of working under pressure, prioritising and working to tight deadlines
- Competent on Microsoft office suite i.e. excel, word etc.
- Excellent verbal and written communication skills

**Personal Qualities**

Highly self-motivated and with strong personal discipline to meet key objectives

Confident and assured manner when discussing regulatory matters, whilst maintaining an informative and consultative style

A real desire to provide support and to assist firms to stay safe in the business environment

**Benefits**:

- Additional holiday
- Company sick pay

**Next Steps**:
We look forward to hearing from you.

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