Job Description

Main duties:

• 2nd line monitoring of field force of Financial Advisers
• Undertake customer calls and record findings
• Assist with follow up/investigation of areas of concern
• Identify at risk performers
• Liaise with Compliance team to achieve monitoring targets
• Assist with investigation of regulatory and data breaches
• Assist with completion of compliance reports for team, management and board

The successful Compliance Auditor will benefit from excellent working conditions and generous company benefits such as:

• Yearly bonus – 7% of salary
• 20 days holiday rising to 25 days, 1 day extra per full year worked
• Season ticket loan
• Childcare voucher scheme
• Contributory Pension and Life Assurance

Required Knowledge, Skills, and Abilities

At least 2-3 years’ Financial services experience ideally in a compliance role Preferable knowledge of Life Assurance, Investment and Pension products or willingness to undergo an intensive 4 week training course Understanding of Conduct Risk and Treating Customers Fairly (TCF) outcomes Excellent communication skills both written and verbal Empathy towards ethical business model and TCF culture Motivation and ability to develop technical knowledge A-level (or equivalent) Relevant professional qualification desirable