Compliance & Quality Auditor

Compliance Auditor, 35 - 45k plus package, Field/Home based role
Patch:North London, Reading.

My client are a business support network for the financial services industry. They offer advice and support within technical support, business management and compliance regulation.

They are currently looking for a Compliance Auditor to cover the following patch - Reading, North London.

The role will involve working as part of a larger team and reporting to the head of Compliance.

The Role:

- Reporting to the Team Supervisor.
- Be able to undertake a varied and challenging work load.
- To act with professionalism at all times when dealing with clients.
- To maintain up to date and accurate knowledge in all regulatory and legislative areas which might realistically be of interest to clients.
- To undertake compliance audits and file review audits at the clients' premises, or any other locations to be agreed, and prepare written reports, and other appropriate documentation as appropriate.
- To respond to compliance queries raised by clients, where possible, in a clear and concise manner and ensure that these responses are accurately recorded on the appropriate back office system.
- Promote the services provided in a positive manner.
- Be able to deal with the Financial Services Authority (FSA) in conjunction/on behalf of clients.
- To be able to provide guidance to clients beyond compliance issues in areas that will have an effect on a financial services business such as Business Strategy and how to increase profitability.
- Be able to identify clients where there are concerns which might realistically affect the clients' ability to trade, or affect the clients ability to fulfill its commercial and contractual obligations to one another.
- Be willing to undertake project work.
- To advise of any assistance required in order to meet these key requirements.

Requirements:

- Successful experience delivering consultancy services to the intermediary community.
- Ability to manage and deliver a varied and busy workload.
- Detailed knowledge of regulatory framework and regulatory changes within RDR.
- Must have good interpersonal skills and be able to self motivate and also be a team player.
- Understanding of IFA processes and motivations.
- Understanding of regulatory bodies.
- Understanding of the need to blend commercial and regulatory obligations.
- Full Driving licence.
- Able to undertake extensive travel and occasional overnight stays.

Highly desirable

- Ability to manage and deliver workshops including presenting, leading discussions and exercises, one-to-one instruction, coaching and process interventions.
- Credible speaker on general business issues.
- A good understanding of business strategy.
- Experience in dealing/liaising with Regulators.
- Possible experience of working for the Regulator (Financial Services Authority or subsequent replacements.
- An understanding of Investment Management.

Desirable

- Level 4 qualified (post RDR)

If you are interested in the above role or would like to hear about other roles within the Financial Services sector, please contact Paul Adam on 01293 848142.