Job Description

The role is to support the Risk & Regulatory Team in ensuring the business is compliant with relevant regulation and legislation, and in assuring the quality of advice and service provided to clients. The role holder will act as a key point of contact for other business areas, and work alongside all members of the R&R team in accordance with business needs.

Applicants will ideally have some insight into the financial services industry, and potentially some experience of compliance (although not essential); this is an opportunity to become a TPO compliance ‘all-rounder’ and build a regulatory career.

The role holder will be actively studying towards or have the appetite/aptitude to complete the Level 4 Diploma in Regulated Financial Planning.

It is essential that the role holder can work both with direction and on their own initiative and manage their own workload to achieve tight deadlines. They will also be able to influence those around them and maintain a positive outlook whilst working under pressure. The role holder should have the ability to think commercially and strategically, and appreciate the wider implications of decisions made, and how they are communicated across the business.

Computer literacy is essential, with a working knowledge of all commonly used IT packages, including Outlook, Excel and Word.
Initially, core role responsibilities will be delivered in a ‘support’ and closely supervised capacity, which will evolve with experience. The level and frequency of involvement in each aspect will fluctuate with the needs of the business and the R&R Team.
Over time, the role holder will have the opportunity to specialize within the department.

Key Performance Indicators

• Demonstrable ability to build strong and effective working relationships with stakeholders in the firm and third party suppliers;
• Adoption of a pragmatic, commercial and business focused approach;
• Works to improve efficiencies across the business;
• Complies with the external regulations and internal standards and reporting requirements;
• Receives positive feedback from stakeholders, both internal and external;
• Completes all work to a good standard and within agreed timescales

Benefits

• Company discretionary bonus scheme;
• Full time hours (35 per week) Monday to Friday 9.00am and 5.00pm – 1 hour for lunch;
• 24 holidays (increasing to 26), plus 2 additional days paid Christmas shut down period;
• Company Pension scheme;
• Private Healthcare*;
• Group Income Protection;
• Life Assurance;
• Eye Care Scheme;
• Wellbeing programme;
• Bike to Work Scheme;
• Full support with professional qualifications;
• Career progression available.

Required Knowledge, Skills, and Abilities

Delivery of the firms in house advice and file quality assurance programme; Complaints and errors investigations and root cause analyses to identify trends and submitting recommendations to other business areas for improvement; Regulatory supervision, housekeeping, and monitoring of approved persons and members of the advice delivery team in accordance with the prevailing company kpis; Recording and reporting all ‘business as usual’ management information, and responsibility for keeping al department records current and accurate; Ensuring a flow of relevant information to all areas of the business, including the Executive Board, Commercial Managers, Head of Advice Delivery, the wider Operations Department and externally as appropriate; Building, documenting and communicating department outputs and training material; Identifying and facilitating/arranging the professional development needs of advisers and members of the advice delivery team, for example qualifications, structured CPD, courses, exams; managing professional memberships, accounts, study material and exam entries; Strategic project work including information gathering, recording, analysis, investigation and reporting; Continuously reviewing current processes to spot inefficiencies and automate processes where possible to improve time efficiency; Monitoring and auditing of the company's compliance with external regulatory requirements, including reporting, anti-financial crime controls, data security, consumer protection, Treating Customers Fairly and other matters as required; Ensuring compliance with data security and processing obligations, including handling data subject access requests and GDPR requirements; Supporting with the firms’ risk oversight and monitoring programme, including identifying, assessing, recording and reporting risks; Providing regulatory and general compliance support and advice to the business; Conducting due diligence and risk assessment on Professional and other introducers, and documenting appropriate agreements; Review and approval of financial promotions, including (for example) marketing materials, website promotions and company stationery; Delivery of the firm’s anti-financial crime controls and wider compliance monitoring program; Regulatory reporting; Providing administrative support to the team as required. Be articulate and confident, with excellent organizational, interpersonal and communication skills; Have an interest in assuring the quality of client outcomes. Compliance with the Financial Conduct Authority Handbooks and that body's regulations; Build and maintain an understanding of the regulatory environment commensurate with the role; Maintain awareness of all risk-related issues and ensure compliance with The Private Office's standards, policies and procedures; Build and maintain effective relationships with The Private Office; Motivate and develop fellow employees; Engender a positive and professional working environment that encourages quality staff to join The Private Office and develop within the business; Undertake the working day in accordance with The Private Office's core values.