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.