Compliance Consultant
hace 16 días
Liverpool
Compliance Consultant \n Red Recruitment is looking to recruit experienced compliance consultant with previous pensions and investments experience and a good awareness of the UK regulatory environment. \n The salary is up to £52000 per annum and the successful candidate must have previous compliance experience. \n Benefits and Package for a Compliance Consultant: \n\n • Salary: Competitive\n, • Hours: Full-time\n, • Contract Type: Permanent\n, • Location: Liverpool\n, • Generous Holiday Allowance\n\n Key Responsibilities of a Compliance Consultant: \n\n • Complete scheduled monitoring reviews in a timely manner.\n, • Identify and investigate issues and/or trends which may adversely affect the businesses' ability to comply with applicable legislation and/or regulations.\n, • Produce compliance monitoring review reports for Senior Management.\n, • Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.\n, • Maintain a close working relationship with other departments, particularly the Advised\n, • Sales Force, Guidance team, Legal, Investment Operations, Pensions Administration,\n, • Operations Control and HR teams.\n, • Manage the internal Complaints and Breaches mailbox ensuring all notifications are logged accordingly and escalated and dealt with in a timely manner.\n, • Log and track all firm breaches, ensuring that each breach is documented accurately, escalated, and investigated in line with company procedures.\n, • Perform thorough investigations into breaches, identifying the causes and potential impact on the business.\n, • Work closely with relevant teams to implement corrective actions and prevent similar breaches from occurring in the future.\n, • Ensure appropriate compensation is calculated and applied where the issue has caused a monetary loss to an individual\n, • Assist the Compliance Manager in creating a supportive culture based on continuous improvement & implementing Compliance throughout the business.\n, • Ensure all regulatory requirements are adhered to in the course of carrying out daily activities.\n, • Investigate and finalise complaints appropriately and in accordance with FCA DISP regulations.\n, • Conduct effective root cause analysis and identify root cause corrective action\n, • Identify trends, look at root cause of issues and ensure recommendations in place to improve business processes.\n, • Make recommendations to improve processes to the business and ensure implementation.\n, • Co-ordinate FCA Reporting, including: liaising with the business to provide information on what is required for FCA reporting and timely reminders to ensure all filing is completed within regulator timeframes.\n, • Collate all relevant compliance regulatory information and upload to My FCA in preparation for the Compliance Manager's assessment.\n, • Maintain the internal Certificated Function register accurately to ensure governance, oversight, and MI reporting.\n, • Ensure all certificated regime employees have a valid Statement of Professional Standing (SPS).\n, • Produce regulated references as required.\n, • Produce MI for the monthly compliance board report.\n, • Keep up to date on changing industry legislation that impacts the business.\n, • Complete Ad-hoc project work as required to meet business needs.\n, • Be passionate about and demonstrate behaviours in line with the Company's ethos, vision and key principles.\n\n Key Skills and Experience of a Compliance Consultant: \n\n • Experience in the Financial Service industry ideally with a pension and/or investment focus\n, • Ability to understand and navigate the FCA handbook\n, • Excellent communication skills at all levels, both verbal and written, including the ability to be discreet and confidential\n, • Proficient in the use of MS Office and Intelligent Office\n, • Able to work to deadlines with proven time management skills\n, • Strong organisational and problem-solving skills, and ability to adopt a logical approach\n, • Thorough approach to work, with excellent attention to detail\n, • Approachable and self-motivated\n, • Embraces change with a positive and flexible attitude\n, • Ability to articulate solutions both internally and externally\n\n If you are interested in this position as a Compliance Consultant and have the relevant experience required, please apply now! \n Red Recruitment (Agency)