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Compliance Review Officer

Accounting & Finance Jobs

HL Partnership


£18,000 - £25,000


6 Merus Court, Meridian Business Park, Leicester LE19 1RJ

Job Overview

KEY TASKS Monitor and maintain FCA guidelines and regulatory obligations. Ensure Network standards are adhered to by Appointed Representatives and their Advisers, as per our internal sales processes and procedures. Conduct desk-based check to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM system. Conduct desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers. Produce reports and maintain records of such analysis as specified by the Internal Compliance Manager/Compliance Director. Build strong relationships with key stakeholder, championing good customer outcomes. Provide appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requested. Report wilful and uncorrected deficient advice and/or documentation and agree appropriate remedial action. To maintain ongoing competency through development of personal training plans in conjunction with the Internal Compliance Manager SKILLS/COMPETENCIES Able to demonstrate a suitable level of industry knowledge and experience to conduct the role A good grounding and understanding of working within a Regulatory environment Demonstrable supervisory skills Excellent verbal and written communication skills The ability to analyse information with a view to making informed decisions Ability to facilitate and deliver appropriate training, liaising with the training manager where necessary Passionate in building excellent working relationships with both colleagues and our members to deliver the right outcomes for all parties Good team player, but with an ability to work under own initiative Good computer skills including Microsoft applications PERSONAL QUALITIES Highly self-motivated and with strong personal discipline to meet key objectives Confident and assured manner when discussing regulatory matters, whilst maintaining an informative and consultative style A real desire to provide support and to assist firms to stay safe in the business environment

Qualifications Required

CeMAP/equivalent professional financial services qualification or willingness to work towards this. Minimum 2 years of experience in a similar role within the financial services sector desirable but not essential Knowledge of systems of control and able to follow clearly defined procedures Experience of working under pressure, prioritising and working to tight deadlines Competent on Microsoft office suite i.e. excel, word etc. Excellent verbal and written communication skills

Hours per week

37 Hours

Closing Date



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