Job Details

Compliance & Risk Adviser

Kettering, Northamptonshire, United Kingdom, £40,000 - £55,000 , Permanent

Posted: 1day ago


Compliance & Risk Adviser / T & C Supervisor (South West)
This highly regarded and well established financial services network who continue to expand their client base are recruiting for a Regional Compliance & Risk Adviser on a full-time, permanent basis.
As Regional Compliance & Risk Adviser, you will be supporting the Compliance, Quality and Risk team, who provide regulatory guidance to their member firms and their employees by ensuring business quality and adequate supervision of Advisers, and Practice Supervisors.
Key duties include:-
* Complete the activities set out in the Training and Competence Scheme to manage risks and ensure Adviser overall competence is maintained and assessed - emphasis is on showing advisers 'how to' in a support / coaching manner.
* Maintain effective communications with all relevant parties.
* Be a centre of knowledge for the market place, to be able to feedback to the business and their member firms.
* Respond appropriately to allegations of fraud, unsuitable advice or negligence.
* Undertake activities in a professional manner with the overall objective of effectively managing risk, e.g. agree and create an appropriate remediation plan.
Essential Skills & Experience:-
To be considered for this opportunity, ideally you will be working as or have previously worked within a Sales Management / T & C / Compliance / Risk capacity and essentially have attained full diploma within regulated financial planning along with full CeMap / MAQ or equivalent.
The successful applicant will join a highly respected business who value their staff and recognise their contributions as being a key part of their own success and growth. You will join a forward thinking and dynamic business who provide regular progression opportunities, whilst being offered a competitive financial package in excess of £55,000.
For further information please click the 'Apply Now' button below to submit your CV.
Archer Associates Insurance & Financial Services Recruitment are an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age

Job Details

Kettering, Northamptonshire, United Kingdom
£40,000 - £55,000