Our client is the leading trade association serving the commercial finance sector across the lender and broker community.
The primary purpose of the Compliance position is to strengthen the function and support the Association in maintaining high professional and regulatory standards. The role will focus on supporting the day-to-day compliance operations, particularly in relation to technical and regulatory matters from their broker and lender members. The Compliance position will provide practical and proportionate compliance guidance to both Broker and Lender Members. The role will also contribute to the wider compliance agenda established by the Head of Compliance and Assurance and support the delivery of the Association’s regulatory training and education strategy.
The Compliance position will:
- Act as a source of technical knowledge on regulatory and compliance matters, ensuring the Association provides robust, accurate and practical support internally and to its Members, both proactively and reactively.
- Review, challenge and approve financial promotions in accordance with applicable FCA requirements for members, ensuring that communications are clear, fair and not misleading.
- Support Broker Members in responding to and managing complaints received from their customers.
- Handle complaints received from SMEs concerning Broker and Lender Members, ensuring matters are investigated fairly, objectively and in accordance with the Association’s procedures.
- Handle disputes and complaints between Broker Members and Lender Patrons, bringing the relevant parties together where appropriate to support a fair and constructive resolution.
- Support Broker Members with their FCA regulatory reporting obligations, including completion and submission of the CCR009 regulatory return.
- Support the Head of Compliance and Assurance with the review, development and implementation of compliance policies and procedures.
- Deliver compliance and regulatory training to the internal team and Broker Members, including deputising where the Head of Compliance and Assurance is unavailable
Experience required
- At least three years’ relevant experience in an advisory compliance role.
- In-depth knowledge and practical experience of FCA requirements, including PRIN, CONC, SYSC and MCOBS.
- A solid understanding of how FCA rules, principles and guidance are implemented within day-to-day business operations.
- Strong knowledge of the intermediary and broker market, including relevant distribution channels.
- Experience of interpreting regulatory requirements and providing clear, practical and commercially aware compliance advice.
- Strong presentation and communication skills.
- Proven experience of developing or delivering compliance and regulatory training.
- Strong ability to prioritise their workload.
- Knowledge and experience of the commercial finance sector.
- Self motivated with the ability to work independently and use initiative.
- Managing complaints, regulatory incidents or FCA enquiries.
- Experience of completing Regulatory Reporting within an FCA authorised brokerage
- Reviewing and approving financial promotions.
Although not essential, experience in the following areas would be advantageous:
- Working within a hybrid business model involving both lender and credit-broking activities.
- Experience of presenting at external events
This is a great opportunity to part of a business with very strong values and a strong leadership team.
Working with the Head of Compliance and Assurance and the CEO you will help be a key part in the strategic direction of the business and have visibility across the entire commercial finance sector.
£32,000 – £38,000 basic, excellent bonus and benefits. Location: UK, Southampton (Hybrid), with 2 days per week in the office…
Salary range £60,000 to £80,000 depending on experience, on target earnings up to 55% of salary with potential to earn…
Salary range £35,000 to £50,000 plus up to £100 per appointment closed AND commission on all deals closed with commission…
#J-18808-Ljbffr…