Compliance Officer

3 days ago

Doncaster, United Kingdom Jobs Butler Full time

Our client is one of the UK's fastest growing businesses within their industry. They are now looking for a Compliance Officer to join their growing team.

**PRIMARY ROLE & REQUIREMENTS**
- CeMap qualified with a minimum 2 years experience in an advised sales role. Ability to communicate effectively both orally and in writing.
- Display excellent attention to detail, able to work under pressure, multi task and act on own initiative.
- Deliver effective quality assurance checks to ensure sales have been carried out in a compliant manner, to an acceptable standard, and that customers have been treated fairly at all times.
- To highlight issues and potential risks to the Group Head of Compliance to safe guard the business.
- To maintain a thorough working knowledge of mortgage & protection products & keep upto date with the FCA regulations.

**GENERAL RESPONSIBILITIES**
- Carry out an agreed number of advised sales audits, delivering prompt and clear feedback to the Advisors in a timely manner.
- Ensure that any required remedial work is completed in order to safe guard the client and/ or the business.
- Maintain accurate records of all completed audits & highlight any training requirements.
- Assist the Group Head of Compliance to prepare management information and assess potential risks within the business.
- Handle customer complaints within the FCA timeframes.
- Action Suspicious Activity Forms
- Complete Due diligence checks on new lead Introducers & Lenders
- Review and approve financial promotions
- Responsible for the supervision of the new to role Advisors & continue to offer support once CAS has been achieved.
- Support the L & D team delivering training sessions when required
- Understand what Treating Customers Fairly (TCF) means and embed this fully within your work.
- Demonstrate excellent administration skills with a consistently high attention to detail.
- Encourage best practice of internal procedures when analysing noncompliant incidents and encourage a “right first time” culture.
- Work with the Group Head of Compliance to identify own areas of development, always demonstrate good practices and act as a role model to other members of the team.
- Build strong relationships with staff to assist with their development and learning and promote the compliance function throughout the business.
- To be proactive, hardworking, flexible and able to work under own initiative but also a team player.
- Embrace company values and promote them effectively alongside our clients brand.
- Attend internal or external meetings as required.

**BENEFITS**
- Cash Plan with Westfield Health
- Access to Free Therapy sessions
- Cash advance facility with Fast PAYE
- Free Tea/Coffee facilities
- Fresh fruit delivered weekly
- Parking
- End of Quarter Events and incentives
- Progression opportunities

**Salary**: £28,000.00-£30,000.00 per year

Schedule:

- Day shift
- Monday to Friday

Ability to commute/relocate:

- Doncaster: reliably commute or plan to relocate before starting work (required)

**Education**:

- Bachelor's (preferred)

**Experience**:

- Compliance: 2 years (preferred)

Licence/Certification:

- Driving Licence (preferred)
- CeMap (preferred)

Work Location: One location

Reference ID: CO01

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