Compliance Supervisor (Training and Compliance) -

Job Type:
Permanent
Job Sector:
Accounting
Region:
West Midlands
Location:
Midlands
Salary Description:
Competitive
Posted:
29/06/2018
Recruiter:
Additional Resources
Job Ref:
MAC/D/038636

Compliance Supervisor (Training and Compliance) - The Midlands

Location: Field based in The Midlands (covering parts of Worcestershire, Bucks, Norfolk, Suffolk, Cambridgeshire and Northamptonshire)

Salary: competitive + car allowance & benefits

Key Skills: Qualifications e.g. Chartered Insurance Institute (CII) H15 / J07 or equivalent, ICA Certificate in Compliance or other compliance qualification, CII `Financial Planning Certificate and CeMAP or equivalent. Full UK driving licence.

If you have experience within a Regulated Financial Services Company for 5+ years and have compliance and training experience we would be interested in speaking with you.

This role is responsible for the training, evaluation, assessment and monitoring of the individual representatives of the Company, as well as those within Appointed Representative firms. Ensuring that the individual representatives remain competent in their role and that their conduct is in accordance with the requirements of their individual representative`s agreement with the Company.

The role is also responsible for the assessment and monitoring of the Appointed Representative firms of the Company to ensure that they are operating in accordance with all rules, policies, procedures, manuals and instructions of the Company as set out in the Appointed Representatives agreement with the Company.

To be successful you must demonstrate:

Working knowledge 5+ years of the financial services industry, products and risks.
Working knowledge of a Compliant Sales Process and Disclosure requirements.
Demonstrate sound analytical skills with high attention to detail.
Experience of training, coaching and personal development of others in small groups and on a 1:1 basis.
Demonstrate sound IT Skills
Demonstrate good report writing skills.
The ability to communicate at all levels, in person and in all media types, sensitively and effectively.
Ability to work independently and on their own initiative, and as part of a team.
Commitment to continuing professional development.
Customer focussed, understanding the views and needs of others.
Ability to work across UK and attend meetings in Head Office in West Sussex.

If you are interested please send your CV, ensuring that it demonstrates that you meet the key skills for the role plus your salary expectation.

Key Skills: Qualifications e.g. Chartered Insurance Institute (CII) H15 / J07 or equivalent, ICA Certificate in Compliance or other compliance qualification, CII `Financial Planning Certificate and CeMAP or equivalent. Full UK driving licence.

Important Information: We endeavour to process your personal data in a fair and transparent manner. In applying for this role, Additional Resources will be acting in your best interest and may contact you in relation to the role, either by email, phone or text message. For more information see our Privacy Policy on our website. It is important you are aware of your individual rights and the provisions the company has put in place to protect your data. If you would like further information on the policy or GDPR please contact us.

Additional Resources Ltd is an Employment Business and an Employment Agency as defined within The Conduct of Employment Agencies & Employment Businesses Regulations 2003

Contact Details:
Additional Resources
Tel: 0845 450 6635
Contact: Sarah
Email:

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