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Compliance Officer

Job Description

Incredible opportunity to join a fun, energetic and growing company as a compliance officer! In this role you will be responsible for assessment of client files to ensure they are compliant within the regulations. This would suit someone who has either compliance experience or someone with a strong work history ideally from a banking/finance background who is looking to get into compliance.


Monday to Friday 9am - 5pm
Office based
Leicester area
£18,000 - £25,000 DOE

Main Duties;


" Monitor and maintain FCA guidelines and regulatory obligations.
" Carry out desk-based analysis of mortgage and insurance product recommendations
and sales documentation.
" Conduct desk-based checks to ensure complete sales documentation for mortgage
and insurance product sales.
" To maintain ongoing competency through development of personal training plans.
" Produce reports and maintain records of such analysis as specified.
" Provide appropriate guidance to Appointed Representatives, their Advisers and
their employees where routine monitoring.
" Build strong relationships with key stakeholder, ensuring good customer service.
" Report any wilful and uncorrected deficient advice and/or documentation and agree
appropriate action.

Person Specification;

" Excellent verbal and written communication skills
" Relevant experience within compliance or banking/finance
" CEMAP (Desirable)
" The ability to analyse information with a view to making informed decisions
" Good team player, but with an ability to work under own initiative
" Strong IT skills
" Methodical & meticulous

If interested in this role please click APPLY NOW, a member of the team will be in touch if successful.

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