Compliance Review Officer

Job Ref: 170503
Sector: Administrators
Job Type: Permanent
Date Added: 12 March 2020
  • Leicester, Leicestershire, England LE19 1WL Leicester Leicestershire LE19 1WL
  • £18,000 - £23,000 per Annum
    ANNUM
  • Tate
  • 0116 254 4416
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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
11/04/2020 13:51:22
GBP 18000 18000