Compliance Consultant - Milton Keynes

Recruiter
Fintop Consulting Limited
Location
Milton Keynes, UK
Salary
Competitive
Posted
13 Sep 2019
Closes
26 Sep 2019
Ref
1247845464
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Role: Compliance Consultant (Field)
Location: Milton Keynes
Salary: Up to £45K
Key Requirement:Minimum Level 4 Qualified / DipPFS /DipPFA

Summary: To work effectively and efficiently to deliver a market leading proactive compliance consultancy service to directly authorised firms. To identify opportunities and trends and to deliver a quality service to clients / members ensuring compliance standards are enhanced, risks mitigated and value added.

Key Responsibilities:

Client / Member Facing

  • Create and maintain effective relationships with Clients / Members, increasing knowledge and understanding of their business
  • Represent the group at all times in a professional manner with external and internal clients
  • Create and deliver an appropriate programme of visits to meet the requirements of firms through effective planning, organisation and time management
  • Provide consultative support to Client / Member Firms to ensure relevant, practical compliance solutions are provided to assist with firm risk management
  • Provide support to clients / members during times of regulatory change and update firms of any current relevant regulatory and / or legislative changes during visits
  • Produce and deliver accurate reports and action plans in a timely manner to provide clear, practical solutions to specific business needs for clients / members to enable them to develop, monitor and maintain compliance standards to mitigate risks within their business
  • Conduct file reviews if / when required whilst onsite, or remotely in line with group business requirements and policy
  • Ensure delivery of T&C Service with effective delivery of training needs analysis, skills assessments, one to ones and development plans
  • Support and promote group events by participating in preparation and delivery of training presentations and / or meetings as required



Internal / Supporting

  • Maintain accurate client records ensuring all information is filed and held centrally within the CRM system and, where relevant the associated client folder(s)
  • Adhere to the internal group monitoring procedures and ensure consistency in delivery of services
  • Play an active part in the consultancy team, providing challenge and undertaking work to enhance the delivery of services to clients/members via:
    • Taking opportunities, both reactive and proactive, to assist with the development additional services and support
    • Encourage cross department interaction within the group to ensure information, knowledge, experience and innovation is shared across the business.
    • Provide challenge and constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
  • Maintain and enhance own technical and regulatory knowledge via CPD including the reading of the FCA website/ group Regulatory Updates / Handbook and other internal / external industry updates as required. Ensure suitable CPD records are maintained
  • Develop and maintain effective and proactive working relationships with internal and external stakeholders
  • Use knowledge and skills to support the growth and development the group both internally and in the external market via supporting the development of new business opportunities
  • Contribute to the profitability of the business, support growth and add value to existing Clients / Members through the promotion of and introduction to relevant group services and business tools
  • Provide introductions / opportunities to other group departments to support growth and retention.
  • Undertake and support projects as and when required, to support the needs of the business or to achieve departmental objectives
  • Prepare for ongoing 1:1 / appraisal meetings with manager and ensure necessary work undertaken to achieve individual objectives and targets
  • Proactively manage own personal development plan to support self and group development / initiatives


Experience and Qualifications:

  • Previous experience working in a regulatory / compliance environment
  • Knowledge of IFA markets (including provider / lenders)
  • Broad technical knowledge across all product areas
  • Minimum Level 4 qualification essential and mortgage qualification desirable
  • G60, AF3 or AF7 Pension Transfers qualification desirable or prepared to study for and attain the AF7 qualification.
  • Experience within / knowledge of DFM / DIM markets desirable
  • Excellent customer service
  • Proficient IT skills
  • Excellent communication and telephone skills

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