Description:
We are recruiting a field based AREA COMPLIANCE / SUPERVISION MANAGER to join our 55 strong Area Supervision team operating across the UK. The team supports circa 3000 regulated advisors & appointed representative firms throughout our network.
This role will cover the regions within and around the Surrey and West Sussex areas and surrounds.
This is an excellent opportunity for an existing Mortgage Compliance professional with a proven track record in Mortgage & Protection compliance / supervision to join a truly fast paced people business.
Duties to include -
- To ensure compliance with both in house and regulators’ compliance procedures for appointed representatives
- To ensure appropriate standards/procedures are followed by authorised appointed representatives
- Instruct, coach and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales
- Identifying areas where Advisors can improve their standards and associated risk ratings
- Conduct and evaluate assessments of Advisors, as part of an on-going regulatory regime including audit of defined procedures, competence requirements
- Identify areas of improvement, ensuring an appropriate report or action plan is communicated with responses monitored to ensure deadlines are timely and achievable
- Facilitate in the delivery of appropriate training, liaising with the Primis training team where necessary
- Demonstrate a suitable level of industry knowledge and experience to conduct the role
- Ensuring that appropriate needs are identified and where appropriate facilitate delivery of additional support to ensure needs are being met
- Supervise individual Advisors in accordance with the approved training and competence scheme
- Other duties commensurate with the level of position that may be required by the Compliance Head / Director.