Compliance and Complaints Support Officer

Department: Compliance

Employment Type: Temps plein

Location: Leeds, UK

Compensation: Up to £50,000 dependent on experience

Description

As a Compliance & Complaints Support Officer, you will work closely with the Head of Compliance to deliver Compliance and Policy objectives. The CCSO will play an essential role predominantly in complaints handling, but also policy, financial crime prevention, financial promotions approval, analysis and research, as required.

Key Responsibilities

Complaints handling including investigations, trend and root cause analysis and reporting.
Prepare appropriate compliance MI to identify trends and potential areas of risk / non-compliance.
Assess product, compliance or operational risks and assist in the development of risk management strategies.
Assist in the mitigation of regulatory risks including financial crime.
Identify weaknesses in the process and recommend solutions to mitigate risk.

Skills, Knowledge and Expertise

Diploma in Financial Planning, CeMAP or equivalent (essential)
Complaint handling experience gained within Financial Services/IFA background (essential)
Good knowledge of key areas of financial planning and advice
Possess a high level of knowledge of risk management and governance, the regulatory system, FCA regulatory rules and guidelines and the regulatory and legislative horizon.
Experience with designing and writing policies and procedures.
Knowledge of SRA standards and regulations (an advantage).

Please refer to our job description to review the responsibilities and person specification in more detail.

We reserve the right to close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.

Benefits

30 days holiday plus public holidays
Wellbeing day
Birthday holiday
Volunteering day
Private medical insurance, 24/7 digital GP and health advice
Employee assistance programme providing support for your mental and physical health
Group pension scheme
Life assurance scheme
Eyecare vouchers
Family leave
Referral scheme

Phone Screening

Skills Assessment