Compliance Supervisor
Due to internal promotion this exciting job opportunity has arisen within the compliance team of this well-known financial services business.
Day to day duties and responsibilities
Review sign off of literature items against FSA Financial Promotions rules - experience of SIPPs and wrap would be useful.
Review sign off of client facing operational letters to ensure fair, clear and not misleading
Review sign off of "requests for information" responses to IFA firms requesting information regarding product ranges to ensure response is fair, clear and not misleading.
Review of breaches - and identifying whether the breach would be classified as reportable to the FSA.
Assist with monitoring regulatory developments - via review of pertinent FSA Consultation Papers and Policy Statements.
Assist with the development drafting of new compliance policies and the review/ updating of existing policies.
Assist with maintaining risk assessment for the compliance department
Some aspects of compliance monitoring may be involved
Education/Qualifications; Experience; Specific Technical/Personal skills
Knowledge of FSA/Compliance regulations and requirements
Excellent attention to detail
Ability to work on own initiative where required
Good presentation skills
Self-motivated and organised
A flexible and proactive approach with the ability to work under the pressure of deadlines
Excellent knowledge of Microsoft applications including Word, Excel and Powerpoint
Strong written and verbal communication skills
Good analytical and problem solving skills
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