Kind Consultancy is working with a market-leading, multi-award-winning Mortgage & Protection network which is currently seeking a Compliance Review Officer to join them in a 9-month Fixed Term Contract paying up to £27,000, with a hybrid work model based in their East Midlands office (after a fully office-based training period).
The Compliance Review Officer will primarily focus on assessing client files to ensure compliance with regulations and company standards, with other key responsibilities including:
1. Monitoring and maintaining FCA guidelines and regulatory obligations.
2. Ensuring that Network standards are adhered to by all Appointed Representatives and their Advisers.
3. Conducting desk-based checks to ensure complete sales documentation for mortgage and insurance product sales have been uploaded to the appropriate CRM systems.
4. Carrying out desk-based analysis of mortgage and insurance product recommendations and sales documentation issued by Appointed Representatives and their Advisers.
5. Producing reports and maintaining records of analysis as directed by the Compliance Manager and/or Compliance Director.
6. Building strong relationships with key stakeholders, championing good customer outcomes.
7. Providing appropriate guidance to Appointed Representatives, their Advisers and their employees where routine monitoring identifies scope for improvement or where assistance has been requ...