South East

Sales Operations Compliance Specialist

CIRCA £49,000 plus bonus and benefits.

Ref: VR 01274 - South East - CIRCA £49,000 plus bonus and benefits.

You will be responsible for:

• Assisting with the development and implementation of an effective 1st line Compliance Monitoring Programme which covers key activities undertaken by Introducers and Outsourced partners, and other parties as required.
• Providing on-going regulatory advice and recommendations based on findings from compliance monitoring reviews.
• Producing tailored reports on each compliance monitoring review undertaken.
• Working with the introducers and outsourced parties to ensure any actions required are completed in a timely manner to ensure UK can demonstrate is regulatory obligations being met.
• Providing regular updates to the Head of Sales Operations and Chief Commercial Officer as necessary on compliance monitoring activities and reporting of performance against plan.

 

Skills & Experience

 

• Proven experience and knowledge of  a similar organisation, within a quality and/or oversight environment or a role that requires similar skills.
• Education to an Advanced level or beyond is preferable but as an open employer we will also consider candidates with proven track records in study or achievement through other routes. 
• SAF Expert level achieved and maintained.
• 3 years plus relevant experience in an appropriate financial services firm(s)
• previous compliance monitoring or internal audit background would be preferable
• Consumer credit experience would be an advantage.
• Ability to work on own initiative to identify opportunities to enhance the reputation of the Sales Operations Team
• Previous experience in the Automotive or Financial Services industry is desirable.