Compliance Consultant - Milton Keynes

Fintop Consulting Limited
Milton Keynes
£30,000 - £39,999
03 Oct 2019
06 Oct 2019
Contract Type
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