Area Compliance Manager - Pink / First Complete - North West

LSL Property Services plc
30 Sep 2017
03 Nov 2017
Contract Type
Full Time
LSL Property Services plc award winning Financial Services Division are recruiting for an AREA COMPLIANCE MANAGER to join our established and successful teams across the UK to support circa 1500 regulated advisors & appointed representatives throughout our network. The successful candidate will supervise Advisers in our First Complete and Pink Networks in and around the North West Region

This is an excellent opportunity for an existing Compliance individual with a proven track record in financial services to join a truly fast paced people business.

Duties to include -

To ensure compliance with both in house and regulators’ compliance procedures for appointed representatives

To ensure appropriate standards/procedures are followed by authorised appointed representatives

Instruct, coach and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales

Identifying areas where Advisors can improve their standards and associated risk ratings

Conduct and evaluate assessments of Advisors, as part of an on-going regulatory regime including audit of defined procedures, competence requirements

Identify areas of improvement, ensuring an appropriate report or action plan is communicated. With responses monitored to ensure deadlines are timely and achievable

Facilitate in the delivery of appropriate training, liaising with the LSL training team where necessary

Demonstrate a suitable level of industry knowledge and experience to conduct the role

Ensuring that appropriate needs are identified and where appropriate facilitate delivery of additional support to ensure needs are being met

Supervise individual Advisors in accordance with the approved training and competence scheme

Other duties commensurate with the level of position that may be required by the Compliance Director.

A full UK driving license is essential.

Salary negotiable plus car allowance.

Apply today for an exciting and challenging career with one of the largest FS Networks within the UK.

Progressive, passionate, people focused & professional – LSL Financial Services Division

Please state your salary expectations on your cover letter.

compliance, cemap, mortgage, audit, fca, advisor, adviser, bancassurance

This job was originally posted as