Compliance Administrator 6 Month FTC £19,000 PA Tate are currently recruiting for a Compliance administrator to join our Nottingham City Centre Client on a 6...
Our client is seeking Compliance Officers to join their expanding team in Leicester
- 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
- Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system. (As and when required).
- Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers by means of a designated remote computer system.
- Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director.
- 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 to the Internal Compliance Manager and agree appropriate remedial action.
- Assess and, within agreed authority levels, approve requests from Appointed
- Representatives for proposed financial promotions.
- Identify training needs and provide appropriate guidance to Appointed Representatives, their Advisers and their employees on matters relating to the use of financial promotions.
- Maintain a record of all decisions relating to the use of financial promotions so as to provide an audit trail for inspection by the regulator or other agency. (As and when required)
- Monitor the use of non-approved and expired financial promotions.
- To maintain ongoing competency through development of personal training plans in conjunction with Internal Compliance Manager
Tate is acting as an Employment Agency in relation to this vacancy.