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Description
At TFAS Compliance Services, we deliver excellent, client-focused compliance support to our partner firms across the UK. We offer a range of services, including consultancy, file reviews, systems and controls audits, T&C audits and supervision, due diligence, financial promotions compliance sign-off, remediation services, and more.
We tailor our support to each business model, acting as a 'critical friend' to ensure compliance with regulatory requirements while helping them achieve their objectives. Our clients include financial planning and wealth management firms, networks, Discretionary Fund Managers, mortgage and protection firms, consumer credit firms, and other regulated entities.
The ideal candidate will possess technical expertise and excellent communication skills, both written and verbal, to build trustful client relationships. This role suits a self-starter with exceptional drive and determination, capable of managing their workload efficiently.
This position follows a hybrid working pattern, involving some travel to client sites and at least one day a week at our Leeds city centre office.
Key Responsibilities
* Staying updated with relevant laws and regulations
* Monitoring client financial activities for compliance
* Investigating irregularities and non-compliance issues
* Providing guidance on compliance matters
* Developing compliance collateral
* Offering oversight services to firms
* Conducting audits remotely and face-to-face
* Delivering training sessions via various media
* Contributing to team goals
* Representing the team and the firm
* Writing articles for client communication
* Assessing firms' needs and promoting additional services
* Identifying opportunities for service expansion
* Maintaining up-to-date information on assigned firms
Skills, Knowledge, and Experience
Qualifications
Essential: Level 4 qualification; Desirable: Level 6 qualification, Pension transfer specialist
Experience
Essential: At least 5 years of relevant experience
Skills
* Strong communication and interpersonal skills
* Attention to detail
* Excellent time management and organization
* Constructive feedback delivery
* Ability to synthesize information clearly
* Commercial awareness and sales skills
* Problem-solving abilities
Behaviours
We value individuals embodying our core behaviours: open, positive, professional, leadership, cooperative, and people-focused.
What We Offer
* 25 days annual leave plus Bank Holidays, increasing with service
* 4 pm finish on Fridays
* Performance-related bonus and salary reviews
* Private medical insurance
* 5% employer pension contribution
* Access to employee assistance programs
* Professional development opportunities
* Annual leave trading scheme
* Referral bonus scheme
* Free mortgage advice
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