Senior Compliance Support Officer

Senior Compliance Support Officer

September 2021
Provide compliance support and guidance to internal and external customers in all areas of regulatory and legislative (non legal) requirements.

Support management of and mentor Compliance Support Officer/Trainee Compliance Support Officer/Compliance Helpdesk Advisers as and when required.

Responsibilities:

  • 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 FSA 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
  • Effectively conduct telephone appointments in relation to RMAR, TCF, Disclosure requirements and provide training when appropriate.
  • Manage own and teams 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 and Helpdesk 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
£TBC
Home Based
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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