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.

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