Compliance and Complaints Support Officer
Progeny
Compliance and Complaints Support Officer
DescriptionAs a Compliance & Complaints Support Officer, you will work closely with the Head of Compliance to deliver Compliance and Policy objectives. The CCSO will play an essential role predominantly in complaints handling, but also policy, financial crime prevention, financial promotions approval, analysis and research, as required.
Key Responsibilities\nComplaints handling including investigations, trend and root cause analysis and reporting.\nPrepare appropriate compliance MI to identify trends and potential areas of risk / non-compliance.\nAssess product, compliance or operational risks and assist in the development of risk management strategies.\nAssist in the mitigation of regulatory risks including financial crime.\nIdentify weaknesses in the process and recommend solutions to mitigate risk.\n
Skills, Knowledge and Expertise\nDiploma in Financial Planning, CeMAP or equivalent (essential)\nComplaint handling experience gained within Financial Services/IFA background (essential) \nGood knowledge of key areas of financial planning and advice\nPossess a high level of knowledge of risk management and governance, the regulatory system, FCA regulatory rules and guidelines and the regulatory and legislative horizon.\nExperience with designing and writing policies and procedures. \nKnowledge of SRA standards and regulations (an advantage).\n\n
Please refer to our job description to review the responsibilities and person specification in more detail.
\nWe reserve the right to close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.
Benefits\n30 days holiday plus public holidays\nWellbeing day\nBirthday holiday\nVolunteering day\nPrivate medical insurance, 24/7 digital GP and health advice\nEmployee assistance programme providing support for your mental and physical health\nGroup pension scheme\nLife assurance scheme\nEyecare vouchers\nFamily leave\nReferral scheme\n
Department: Compliance
Employment Type: Full Time
Location: Leeds, UK
Compensation: Up to £50,000 dependent on experience
DescriptionAs a Compliance & Complaints Support Officer, you will work closely with the Head of Compliance to deliver Compliance and Policy objectives. The CCSO will play an essential role predominantly in complaints handling, but also policy, financial crime prevention, financial promotions approval, analysis and research, as required.
Key Responsibilities\nComplaints handling including investigations, trend and root cause analysis and reporting.\nPrepare appropriate compliance MI to identify trends and potential areas of risk / non-compliance.\nAssess product, compliance or operational risks and assist in the development of risk management strategies.\nAssist in the mitigation of regulatory risks including financial crime.\nIdentify weaknesses in the process and recommend solutions to mitigate risk.\n
Skills, Knowledge and Expertise\nDiploma in Financial Planning, CeMAP or equivalent (essential)\nComplaint handling experience gained within Financial Services/IFA background (essential) \nGood knowledge of key areas of financial planning and advice\nPossess a high level of knowledge of risk management and governance, the regulatory system, FCA regulatory rules and guidelines and the regulatory and legislative horizon.\nExperience with designing and writing policies and procedures. \nKnowledge of SRA standards and regulations (an advantage).\n\n
Please refer to our job description to review the responsibilities and person specification in more detail.
\nWe reserve the right to close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.
Benefits\n30 days holiday plus public holidays\nWellbeing day\nBirthday holiday\nVolunteering day\nPrivate medical insurance, 24/7 digital GP and health advice\nEmployee assistance programme providing support for your mental and physical health\nGroup pension scheme\nLife assurance scheme\nEyecare vouchers\nFamily leave\nReferral scheme\n
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