Senior Compliance Support Officer

Senior Compliance Support Officer

May 2022
Provide compliance support and guidance to internal and external customers in all areas of regulatory and legislative (non legal) requirements.

Responsibilities:

  • Manage team workflows to ensure minimum business standard and timescales are maintained. Assist with the production of management information on team performance.
  • Identify training/development needs of staff within the team and implement effective programmes to meet those needs.
  • Report key trends/compliance issues to the Head of Department to assist with service development and delivery.
  • Effectively liaise with other relevant internal stakeholders to share information/CSU experience and to help ensure that the CSU is fully informed of both internal compliance service developments and external regulatory developments.
  • Support management of and mentor Compliance Support Officers/Trainee Compliance Support Officers /Compliance Helpdesk Advisers as and when required.
  • Assist with the management of the team to enable to provide advice and support (written and verbal) on the full spectrum of requirements in relation to FCA and ancillary regulation and legislation
  • Assist with the management of the team to enable them to advise and support (written and verbal) on the full spectrum of requirements in relation to regulations consistent with investment, mortgage and non-investment business
  • Maintain competency in order to effectively assess and sign off all client marketing and communications
  • Conduct Q A. Assessments of the CSU Officers /Trainee CSU Officers reviews of articles /email responses and that have been assigned to them for review in line with the CSU Q A procedures and provide written and /or verbal feedback where necessary
  • Carryout Q A review of telephone responses provided by CSO Officers and provide written and /or verbal feedback where necessary
  • Effectively conduct telephone appointments in relation to RMAR, TCF, Disclosure requirements and provide training when appropriate.
  • Support the Sales Team and other internal stakeholders with FCA application support for firms joining Bankhall who are seeking FCA authorisation
  • Manage own and team's workflows to ensure minimum business standards and timescales are maintained
  • Deliver all aspects of individuals tasks/projects as required by CSU Manager ensuring effective delivery of objectives
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.
  • To support management in the assessment, coaching, training and development of the team members to ensure they achieve service
  • To act on management information supplied by the Compliance Support Manager and any coaching or training support provided to develop performance.
  • Delivery of service delivery excellence by adhering to and living the company Values.
  • To undertake projects as and when required, to support the needs of the business or to achieve departmental objectives.

Qualifications Required:

Essential:
  • Certificate in Financial Planning (or equivalent)
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Full time, Permanent.
£TBC
Sale (Hybrid Working)
Closing Date: Not confirmed

Essential Skills Required

Good IT skills with the ability to learn as required
The ability to calculate and manipulate numerical data
Knowledge of specific products

Critical Knowledge Required

Strong relevant financial services industry experience
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