Compliance Technical Specialist - Horsham - Superb Opportunity & Competitive Salary
My client is a hugely successful Chartered Financial Planning organisation that places all its focus on providing the best service to their clients, and providing all the training and resources to their staff to ensure they are able to 'evolve' as the market does.
As their reputation continues to grow, so does their need for the very best individuals to join and compliment the business - This particular role is no exception.
Key Tasks and Responsibilities
- Keep up-to-date with regulatory and industry developments.
- Provide evaluation reports to the Compliance Director.
- Formulate gap analyses and action plans.
- Undertake project work.
- Assist with documenting new procedures and policies.
- Liaise effectively with senior management in respect of regulatory and Network issues.
- Assist the Compliance Director in providing a timely response to requests for information from the FCA.
- Assist in making all appropriate notifications to the FCA.
- Apply a risk-based and common-sense approach to the compliance technical process.
- Undertake appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks.
- Produce analysis of internal procedural gaps and make suggestions of actions needed.
- Review European legislation and directives and produce interpretations.
- Review FCA / FOS notices.
- Provide technical support to appointed representatives and staff.
- Undertake internal reviews of process sufficiency and provide findings to the Compliance Director.
- Provide support to other areas of the Compliance Department.
- Take on tasks and projects as delegated by the Compliance Director, applying a can-do attitude and a timely approach to work outside that of technical interpretation.
- Complete tasks to a high standard, and apply initiative to accommodate for wider issues.
Skills and Knowledge
- Minimum of level 4 Diploma in regulated financial planning (or equivalent), with significant progress towards the achievement of further qualifications desired.
- J07 Supervision in a Regulated Environment
- Specialist qualifications:
o Equity Release/lifetime mortgages - ER1 & HR1 or equivalent.
o Occupational pensions - Combination of J04, J05 & AF3 or equivalent.
o Long Term Care - CF8
o Mortgages - CeMAP/MAQ/CF6
o Single share based investments - L4 diploma + IMC or securities gap fill
- Significant compliance experience within the financial services, preferably in an investment or insurance environment. An in-depth understanding of FCA/PRA regulatory expectations.
- Experience working within a network or firms with appointed representatives.
- Detailed knowledge of FCA rules and their interpretation/application.
- Ability to evaluate FCA handbooks and thematic outputs.
- Ability to interpret legal requirements and European directives.
- Ability to train and motivate others whilst remaining flexible/adaptable.
- Highly developed analytical, observational and communication skills.
Due to the high number of applications received, unfortunately we will only be able to respond to successful applicants