IF YOU aren’t afraid of a good challenge, relish taking on the responsibility and wish to taken on CF10/CF11 function in a near future, this role is most definitely for you.
As part of your role you will:
- Join growing, exciting business where you will take a leading role in shaping Company’s structure through Compliance and T&C.
- Support the Business remaining compliant with regulatory requirements and corporate compliance policies.
- Design, amend, implement and undertake T&C reviews to ensure they meet all requirements and are compliant.
- Take on day-to-day responsibility for adherence to the firm's T&C scheme.
- Undertake assessments of individual Training needs and identification of specific training needs and knowledge gaps.
- Perform T&C one to one meetings and observed interviews in accordance with T&C Scheme guidelines.
- Training new advisers and team members.
- Deliver regulatory oversight to all parties involved.
- Contribute to the risk assessment process by monitoring all T&Cs risks.
- Prepare annual T&C budgets.
- Ensure all entities that require to be approved by the FCA are fully compliant and satisfy all assessments.
- Will be able to progress to CF10/CF11 function.
- At least 5 years’ experience in a compliance/T&C position.
- Possess strong analytical skills.
- Be qualified to CII Diploma (QCF Level 4) standard.
- Have the ability to follow compliance rules and enforce standards as applicable.
- Have excellent communication skills.