Compliance Associate - Quality Assurance Job in Horsham, West Sussex

Compliance Associate – Quality Assurance Job in Horsham, West Sussex. Apply for the latest Horsham, West Sussex jobs in Accounting/Financial/Insurance.

Compliance Associate – Quality Assurance Job in Horsham, West Sussex

Job Description
Job Title: Compliance Associate – Quality Assurance

Location: Horsham

Salary: Level 3 Qualified – £30,755-£36,500, Level 4 Qualified – £39,000-£42,000

Full Time

Our client based in Horsham is looking to recruit a Compliance Associate to join their team. The successful candidate will review and assess the quality of evidence within the client's records in respect of the suitability and compliance of advice across Investments, Pensions, Mortgages, and Insurance products. They will engage with advisers to resolve any material information gaps in the evidence of compliance within the files as measured against the Disclosure, Know Your Client, Suitability of advice and Research rules of the FCA and the Company.

Responsibilities

To promote and always work towards the Company's policy of delivery on Suitable Advice and acting in the Clients Best Interest.
To ensure adherence to the Company's internal suite of policies and procedures,
To take responsibility for your own performance and to identify personal development areas.
To provide support to the immediate line.
To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from members firms where necessary.
To identify any breaches or misconduct by firms and individual and report any training/compliance failures to the section leader.
To provide feedback and prepare action plans for firms and individuals following any assessment of client advice.
To provide guidance to firms and individuals in setting up and maintaining good record keeping practices in relation to advice and services deliver to clients.
To provide feedback to other departments within the Company and to take remedial action to ensure that satisfactory relationships are maintained between the Company and the individual or firm.
Provide technical and product specific support to advisers.
To perform any role as required for the successful implementation of the company Compliance Plan.
If tasked with handling a consumer complaint, be fair and impartial throughout the process and act in accordance with regulatory requirements and in-house procedures.
To take part in or lead on small project work if required.
To maintain continual professional development and skills.

Requirements

Chartered Insurance Institute (CII) Level Four Diploma in Regulated Financial Planning or equivalent, or part qualified to CCI Level Four Diploma together with a minimum of three years in a similar role.
Demonstrate sound analytical skills with high attention to detail.
Demonstrate sound IT Skills, specifically Word Processing, Spreadsheets and Email.
Demonstrate good report writing skills, including the use of plain English.
Working knowledge of the financial services industry, FCA Rules, products and risks.
Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO).
Working knowledge of a Compliant Sales Process and Disclosure requirements.
An advising or paraplanning role within a regulated firm would be desirable.
Ability to work on own initiative as well as working effectively as part of a team; however, even more importantly is the willingness to adopt a flexible approach to the work undertaken.
Demonstrate commitment by regular attendance and efficient completion of all tasks allocated.
Carry out duties and responsibilities in compliance with health and safety policies and statutory regulations.
Maintain high standards of personal accountability.
Willingness to undertake training and progress personal development.
A confident individual possessing a sound systematic and methodical approach to work while under pressure is essential.
The ability to communicate at all levels, in person and in all media types, sensitively and effectively.
Customer focused, understanding the views and needs of others.

For more information, please contact Chris Gower at Clearline Recruitment

Job Type: Permanent, Full Time
Location: Horsham, West Sussex
Category: Accounting/Financial/Insurance
City: Horsham
County: West Sussex
Country: United Kingdom
Salary: £30755 – £42000/annum
Benefits: