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Compliance Specialist - Financial Services

£50,000 - £65,000

Benefits:

  • Income protection
  • 4% matched pension
  • Cycle to work scheme
  • Health cash plan
  • 25 days holiday plus bank holidays
  • Employee assistance programme

Are you looking to move your compliance career forwards within the financial services sector? Do you possess Financial Planning or Investment Management qualifications and are you looking to support a business to maintain and build on their competency? Working within this well-established and expanding organisation, you will be supporting the Manager with all aspects of regulatory compliance. You will already be working within the financial services sector and be looking to build on your experience further.
Duties will include:

  • Carrying out client meeting assessments under the risk-based Training and Competence scheme
  • Undertaking case reviews to assess risks and training needs to help the team maintain competency
  • Working alongside the Head of Risk and Compliance and the Business Development Director, helping to develop the skills and understanding where gaps are identified
  • Providing one-on-one or group training where support is required in relation to competency, organisational skills and file quality
  • Collation, assignment and tracking of individual development plans
  • Updating training and competence records to support collation of risk-based data and MI
  • Building up and supporting the delivery of the wider Training and Competence scheme
  • Building and maintaining business relationships with all relevant stakeholders and contributing to corporate projects and initiatives
  • Managing processes with regards to fee structures and build an exceptions-based process
  • Reporting of linked risk events and resolution of training needs
  • Keep Head of Risk and Compliance updated on progress of any ongoing risk issues
  • Assist with the development of processes based on company policies and principles

If you are looking for a new challenge in a professional, highly regulated financial services environment, with excellent scope for career development, call us or apply today!

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