Compliance Support Specialist

Amber River Group have over 300 IFA's across the UK working from 15 regional Hubs in 30 locations and growing We have a values driven approach to creating bespoke financial plans for people who need our expertise by helping them plan for a life well lived.

**Overview**
We are seeking a Compliance Support Specialist to join our dynamic team working for our Amber River East Anglia hub based in Colchester.

You will provide dedicated support to the Compliance team to ensure that the firm complies with all relevant and applicable legislation and regulations, to assist with collation and analysis of MI, and to establish and maintain systems and controls required to ensure that good customer outcomes are achieved.

**Responsibilities**

File Reviews (75% - 85% of the time)
- Primary Responsibility of the role is to conduct regular file reviews to ensure adherence to compliance standards, including suitability, KYC, disclosure, and anti-money laundering (AML) requirements.
- Prepare and package cases required for external review.
- Feedback and Remediation: Prepare feedback for Advisers and track remedial actions, liaising with external providers (e.g. B-Compliant and threesixty).
- Identify trends and liaise with parties as appropriate to put training in place as may be required
- Documentation: Place copies of reviewed files on the Training & Competence (T&C) file of Independent Financial Advisers (IFAs) and highlight any breaches to the Compliance Manager.
- Ensure that all file review data is collated in a timely manner as may be required to support internal and external reporting requirements

Compliance Assistance (15% - 25% of the time)
- Assist Compliance Managers with their daily tasks and ad-hoc projects.
- Provision of timely management data and information to the SMF16 & SMF17 and or designated Compliance Manager to assist in regulatory, Hub, and Board reporting.
- Assist in the production of the Hub’s quarterly compliance report to the hub board and Amber River Group Risk & Compliance.
- Policy and procedures maintenance and updating.
- Maintenance of template documents.
- Background research to support other compliance-related tasks as and when required.

**Knowledge, Skills & Competencies**
- Good understanding of the FCA’s rules and guidance affecting financial advice and wealth management firms.
- Experience in roles within a financial advice or wealth management firm.
- Good understanding of retail investments, pensions, and protections including suitability considerations
- Excellent communication and influencing skills.
- Strong analytical skills and attention to detail.
- Ability to manage and prioritise workload effectively.
- IT literate with good knowledge of Microsoft Word, Excel, PowerPoint and Outlook.
- High level of integrity.
- Working towards or achievement of the CII Diploma in Financial Planning or an equivalent industry qualification.
- Working autonomously in a fast-paced environment.
- Solution-based approach to compliance matters, demonstrating sound and pragmatic judgment.
- Experience of business judgement; exceptional analytical, planning, decision-making; and exemplary communication and presentation abilities.
- Ability to create a culture of continuous improvement and agility within the team.

Ideally, we would like somebody who is already experienced in some aspects of compliance, including file reviews, within an FCA regulated financial advice firm. Holding relevant professional qualifications relating to compliance, supervision or financial crime would be advantageous. The ideal person will:

- Be tenacious
- Have intellectual capacity
- Have an investigative mindset
- Have the confidence to hold their ground if required
- Be someone who 100% agrees with and understands the roles and responsibilities of the compliance function
- Have the right attitude
- Have attention to detail
- Be capable
- Have credibility in the role, and within the team

We take as much pride in what our people do outside of Amber River as we do in what they achieve with us, the communities that we support and the lives we enrich, all contributing to a positive impact on our planet. We are big on supporting our local communities and every employee is given paid Community Engagement Leave to take part in local initiatives. We also support a Hub chosen charity each year raising vital funds for a charity chosen by you.

On successful completion of your probation period, we operate on a hybrid working arrangement with a minimum requirement of 3 days in the office.

Our Professional Development Policy supports employees to continue their learning journey should they wish and includes the provision of study leave.

Pay: Up to £35,000.00 per year

Additional pay:

- Quarterly bonus

**Benefits**:

- Company events
- Company pension
- Cycle to work scheme
- Employee discount
- Enhanced maternity leave
- Enhanced paternity leave
- Free parking
- Health & wellbeing programme
- Life insurance
- On-site par