- Provide oversight and monitoring support to safeguard that there is no material detriment to customer outcomes and required standards are maintained. Identify risks and deliver improvement, with a view to maintaining consistently positive outcomes.
- Support and manage the business to review and approve FCA compliant Financial Promotions across different service lines.
- Undertake and oversee elements of the compliance monitoring plan across all areas of the business.
- Support, manage and develop a team of Compliance Officers across various work streams.
- Oversee and assist with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence.
- Report any issues and/or risks to the Head of Compliance as agreed.
- Preparing relevant trend/outcomes reports reflecting the FCA's Consumer Duty requirements for submission to the Risk & Compliance Director/Board.
- Work in collaboration with the Quality Assurance department to organise and attend monitoring levelling sessions to promote and ensure consistency.
- Contribute and attend internal committees and working groups.
- Be Respectful – Treat customers and colleagues at all levels with dignity and respect.
- Show awareness – Be aware of how your actions and behaviours affect customers, colleagues and the business.
- Go Above & Beyond – Always aim to exceed expectations, giving your very best to every customer and colleague.
- Embrace Change – Treat change as an opportunity to improve, welcoming new ideas and ways of working.
- Commit to Development – Take responsibility for your personal development and that of the business.
- Be Proud & Lead By Example – Take pride in yourself and your work, acting as a positive role model for others.
- Be Accountable – Take responsibility for your actions and learn from any mistakes.
- Keep Your Promises – Do what you say you'll do, when you say you'll do it.
- Be Courageous & Honest – Speak up for what you believe in and welcome the opportunity to give and receive constructive feedback.
- Collaborate & Share – Be generous with your time and ideas, working with and for the wider team.
- Appreciate others – Recognise the contribution made by every colleague to the success of our business.
- Focus on Solutions – Show resilience and determination, focusing on the solution not the problem.
- Experience of managing and developing a team
- Financial Services compliance experience
- Knowledge and experience of regulatory requirements
- Experience in a Compliance Management role
- Experience of approving Financial Promotions
- Good numerical and literacy skills
- Certificate in Mortgage Advice and Practice (CeMAP)
- Certificate in Regulated Equity Release (CeRER) (Home Reversion 'top-up' unit or ER1)
- Willing to work towards Diploma level 4 qualification
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Compliance Manager - Leeds, United Kingdom - Age Partnership
Description
Package
Circa £40,000 and comprehensive benefits package.
Hours of work
37.5 Per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).
The role
Overview
To support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO.
The successful candidate would be provided with the relevant support and training to conduct their role.
Primary responsibilities are to:
Not your typical financial services firm...
Established in 2004, Age Partnership has held true to its pledge to improve the markets in which we operate for the benefit of customers. We do this by delivering world-class customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.
At Age Partnership we accept nothing other than being the best at what we do, and this objective is reinforced by an environment in which colleagues are encouraged to engage, to learn and to flourish. Significant in-house training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.
We strive in becoming a household name that is synonymous with excellence. Added to this we want to work, collaborating with all our partners and suppliers to enable our customers benefit from the relationship. It sounds simple but it needs to be worked on to achieve.
Our Values:
Customer first
Raise the bar
Do the right thing
Win together
The person:
Overview:
Approachable, organised leader with an ability to work in line with detailed process and procedures in a regulated environment. An enthusiastic self-starter who can seek work pro-actively while providing support and direction to the team. An excellent communicator with the ability to interact at all levels. Capable of handling work across a range of products and activities whilst retaining a high level of detail.
Skills and knowledge:
Essential
Desirable
Qualifications:
General education:
Financial services qualifications:
Age Partnership will support you financially with your studies.
This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.
This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.
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