Compliance Consultant – Birmingham
Compliance Consultant - Birmingham -Circa £25,000
An excellent opportunity to join a leading financial services organization who is currently seeking to employ a compliance consultant to join their head office in Birmingham.
The purpose of the role is to provide an efficient, effective and professional advice quality monitoring service; in order to measure sales force compliance with FSA Conduct of Business rules. You will also identify and drive improvements in compliance standards, reductions in regulatory, financial and business risk and deliver sustainable business benefits through robust advice quality monitoring.
Job Role
•Complete routine and discretionary Advice Quality Monitoring with various parts of the business.
•Conduct quarterly risk assessments of Financial Consultants and investigate KPI failures Review, approve and monitor sales incentive schemes
•Escalate risks to the business and the required remedial action through routine monitoring activity
•Provide Compliance KPI reports for FC references
•Review Financial Consultant Training and Competence records to ensure appropriate development activity is being undertaken
•Complete Competent Adviser/Supervisor Status sign off requests
•Contribute to the development, implementation and achievement of the Compliance Department Plan and the overall embedding of a compliance culture
•To proactively work with key stakeholders in order to help ensure long term advice quality improvement
•Develop effective relationships with key stakeholders to ensure Compliance is visible throughout the business and to help improve compliance standards and reduce risks
•Provide feedback about the Advice Guidelines to the Advice Policy team
Skills/Qualifications
Diploma in Financial Planning or equivalent (or working towards)
Demonstrated Financial Services Compliance experience
Strong knowledge and understanding of the Regulatory framework of the UK financial services industry
Educated to A-Level standard or equivalent
This is an excellent change to join a market leading firm to enhance your career within the financial services industry. Alongside a competitive salary, the successful candidate will also receive company benefits.
For more information or for a free consultation please contact Emma Murray on 08453 701007 or email emma.murray@idexrecruitment.comPlease view www.idexrecruitment.com for further Insurance opportunities.
If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.
Due to the overwhelming application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.