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Compliance Manager

Aimee Willow Connex Ltd
Closing date
10 Jul 2022

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Contract Type
Full Time
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Join a successful Financial Services firm based in Selby, North Yorkshire , established in 2004. The company operates in the Commercial Finance , Regulated Mortgage and Protection Insurance markets and offers a broad range of services to clients and Network Partners.

In addition to our own Practice business and under our Brokerplan Academy brand we support one of the UK's largest Commercial Finance Networks comprising over 100 Appointed Representatives (AR's ) under the Principal /AR model to whom we provide a broad range of support and regulatory / compliance services. Our Regulated Mortgage and Protection Adviser Network currently stands at 30 Advisers and is set for further significant growth in 2022.

In line with our current and planned growth we now have a vacancy for a Compliance Officer to join our team, the core focus of the role will be as detailed below :


* To provide compliance training, support and guidance to all Network Partners and ensure that standards are fully met.

* To ensure all Network Partners operate within the regulatory permissions held by the Company.

* Complete pre - contract checks and regular compliance reviews with Network Partners.

* To ensure that the Company fully discharges its Regulatory and Compliance obligations to the FCA.

* To collate and manage the provision of reporting information to the FCA using the Connect and RegData interfaces.

* To provide regular routine management information to the Directors of the Company.

* To update staff and Network Partners on changes to FCA regulatory policies

* To work closely with our Training officer in delivering Compliance training modules and content to Network Partners.

Key Candidate Requirements and experience;


* Educated to degree level or equivalent , any formal Finance sector qualifications would be advantageous

* Commercial Finance, Regulated Mortgage / Protection or IFA sector experience operating in a regulatory and compliance focussed position - 3 years minimum

* Understanding of the FCA Regulatory Framework and general principals of business

* Understanding of the Financial Ombudsman Service ( FOS)

* Experience in using and interpretation of the FCA handbook

* Knowledge of and experience using the FCA Connect registration system

* Knowledge and experience using the FCA RegData reporting system

* Knowledge and experience of the AR and IAR models within the FCA regime

* Knowledge and experience of complaint handling , investigation and reporting to the FCA / FOS where necessary
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