Our Client is well known throughout Financial Services and Operates within the IFA Market. They are now looking to meet with an Experienced Compliance / Regulatory Consultant.
This is a Field Role and working from Home. Ideally, the Candidate will be based in the Edinburgh / Glasgow / Scotland area. Candidates with the relevant Qualifications & Experience but living outside of these areas will also be considered.
Purpose of The Role:
To proactively deliver regulatory compliance support services to meet with the firm`s risk mitigation, needs and objectives to help to deliver good customer outcomes. Identify opportunities and trends and deliver a quality service. Aim to be the market leading support services brand for directly authorised firms.
- Prepare and deliver comprehensive and practical Compliance Support Services, support to clients need and objectives, to assist with the delivery of good customer outcomes.
- Produce and deliver reports and action plans including practical solutions to specific business needs for clients to enable them to develop, monitor and maintain compliance standards.
- Provide constructive feedback to assist with the review, development and maintenance of internal documentation to enable delivery of quality services.
- Develop and maintain effective and proactive working relationships with internal and external stakeholders
- Maintain and develop own technical and regulatory knowledge.
- Take opportunities, both reactive and proactive to assist with the development additional services and support for clients.
- Support negotiation of Contract Renewals and management retention risk with internal and external stakeholders.
- Support customer training/meetings at client or external premises. Representing The Group professionally at both Group and Industry events.
- Actively support and engage with business projects as required by Regulatory Oversight Supervisor to meet client needs and business objectives.
Experience Skills & Qualifications:
- Level 4 Diploma in Financial Services or equivalent
- Supervisory competence
- Relevant experience in a similar role
- Supervisory experience
· Level 3 certificate in mortgage advice or equivalent
· J07 or equivalent qualification (Supervision in a regulated environment)
There is an Excellent Salary, Bonus, Benefits Package & Car Allowance available with this role!