If so, this may well be the opportunity for you, as a well established National Advisory business is looking to add further Field Competence Consultants to its established Compliance function on a national basis.
Your core duties and responsibilities would be as follows:
- Supporting newly appointed advisers to achieve CAS status
- Working as a key team member of the Compliance Department conducting ongoing T&C supervision for Advisers around quality standards and file reviews
- Observing and feeding back to Advisers on a regular basis in a constructive, timely and professional manner
- Identifying trends and proposing remedial actions with documented follow ups for review
- Conducting root cause analysis, recording relevant MI and escalating any issues to relevant stakeholders
- Working in conjunction with the wider Compliance department to promote adherence to internal processes and policies whilst also being aware of current and emerging FCA requirements
You will ideally have the following skills and experience:
- Demonstrable track record of providing T&C support, business quality assessment and file reviews for advisers
- QCF Level 4 as a minimum, any progression towards chartered status would be advantageous, but is not essential, the desire to attain level 6 is preferred
- H15/J07 would be advantageous but is not essential
- Current and thorough knowledge of the UK’s regulatory requirements within an advisory setting
- Detailed and technical understanding of platforms and products across both investment and non-investment
- Skilled communicator with the ability to deliver constructive feedback and challenge in a positive and engaging manner
- Competent with back office systems and the Microsoft suite of products e.g. Word & Excel
There are a number of locations requiring additional supervisory support.
Travel will be involved and the occasional overnight stay may also be required.
You will enjoy a competitive basic salary and benefits package and the opportunity to progress you career and professional competence by way of funded study support.