Compliance Review Officer

Job Ref: 170124
Sector: Administrators
Job Type: Permanent
Date Added: 07 February 2020
  • Leicester, Leicestershire, England LE19 5JX Leicester Leicestershire LE19 5JX
  • £18,000 - £23,000 per Annum
    ANNUM
  • Tate
  • 0116 254 4416
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Our client is seeking Compliance Officers to join their expanding team in Leicester

Duties include:

  • 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.

Tate
08/03/2020 16:51:48
GBP 18000 18000