Compliance Officer - Doncaster, United Kingdom - Jobs Butler

Jobs Butler

Verified Company

Doncaster, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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 proven 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.