ASSISTANT COMPLIANCE AUDITOR

PLUS DISCRETIONARY ANNUAL BONUS UP TO £1,680 AND EVERY OTHER FRIDAY OFF (WITHOUT COMING OUT OF YOUR ANNUAL LEAVE ENTITLEMENT)!

Summary of Role

To provide monitoring support to ensure the business complies with all relevant regulations and to contribute to the management of conduct risk, including culture and quality assurance, to ensure the fair treatment of customers.

Key Responsibilities & Duties

• Undertake customer care telephone calls (CCC) and record findings
• 2nd line monitoring of field force of Financial Advisers
• 2nd line monitoring of Head Office staff to ensure fair customer outcomes
• Assist Compliance team with follow up/investigation of areas of concern
• Identify at risk performers
• Identify customer vulnerability
• Liaise with Compliance team to achieve monitoring targets
• Assist Compliance team with various MI for reporting purposes

Knowledge, Skills and Experience

• Experience of working in Financial Services
• Knowledge of Life Assurance, Investment and Pension products
• Understanding of Conduct Risk and Treating Customers Fairly (TCF) outcomes
• Excellent communication skills both written and verbal
• Empathy towards ethical business model and TCF culture
• Ability to identify customer vulnerability and to act appropriately
• Motivation and ability to develop

Qualifications

• A-level (or equivalent) or relevant professional qualification desirable
• Educated to degree level desirable

Additional Information

• Training provided

As well as an opportunity to work with talented people we offer a competitive salary, life cover, pension scheme into which the company will contribute up to 10% of total earnings and a performance based discretionary bonus scheme.