· To provide compliant guidance and support to staff and Appointed Representatives· To instruct and coach members in order to improve risk assessment ratings· Accurately...
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.