Compliance Supervisor

Placed: 01/12/17
Region: West Sussex
Category: Jobs


Content of the advertisement:

Compliance Supervisor
£35,000 - £38,000 + benefits
Varied role with in-house Compliance and Regulatory Control team of a well established financial services group. Embedding a robust compliance structure and culture, ensuring best practice across the group.
Providing a source of expertise in respect of FCA regulatory rules and procedures
Monitoring, conducting of audits
Reviewing client files to confirm suitability of good practice
Identifying areas of potential breach, or requirement for remedial action
Providing feedback from audits and risk assessment
Reviewing financial promotions
Responding to complaints, documenting root cause analysis
Taking a lead on project work
Skills and experience required:
Level 4 Diploma in Financial Planning
A successful track record in a compliance role within an FCA regulated environment, with up to date working knowledge of FCA rules.
Good overall knowledge of a range of Pensions and Investment products
Confident knowledge of Compliant Sales and Disclosure procedures
Strong analytical skills with attention to detail
On-going support with professional study; attractive range of staff benefits
Town centre location - few minutes from mainline station with good links for most locations in East and West Sussex

Benefits: excellent

Price / Salary: £35000 - £38000/annum excellent