Following the growth in adviser numbers in HL Partnership, we are looking to grow the Regional Compliance Team to continue to provide our firms with high-quality Face to Face compliance support.
Job Title: Regional Compliance Manager
Location: Watford / Guildford / Slough / Croydon
Salary: £30,000- £40,000 / per year + Benefits + Car Allowance (Listed below)
Job Type: Full-time
About Us:
Founded in 2001, HLP was one of the first networks dedicated to the mortgage and protection adviser. With offices in Leicester, Alcester, and Chichester, HLP is now the largest privately-owned network in the UK, with well over 700 advisers and just under 400 firms.
Our goal is to continue to be the best home for mortgage advisers, protection specialists, equity release experts and general insurance professionals, whatever their size or location.
Job Description:
These additional roles in the team will be the primary point of contact for Appointed Representatives in allocated regions, managing a risk-based monitoring program to ensure compliance with network standards and regulatory requirements. The role is designed to ensure Appointed Representatives are, as per FCA guidelines, always Treating Customers Fairly and delivering good customer outcomes.
Responsibilities will include:
* Conduct field visits which will include risk-based compliance monitoring to ensure that network members comply with the requirements of the FCA and network rules in respect of regulated mortgage and non-investment insurance business
* Act as a supervisor within the Training & Competence scheme and act as an ambassador for the use of relevant IT programs and systems
* Build strong relationships with key stakeholders, championing good customer outcomes.
* Provide advice and guidance to network members in response to enquiries received
* Identify the business risks ensuring all current and future regulatory requirements are adhered to with effective controls in place
* Ensure appropriate standards and procedures are followed by authorised appointed representatives
* Instruct, the coach, and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales and are achievable
* To assist and guide the Internal Compliance Review Officers regarding technical queries and challenges arising in the file review process
Experienced required:
* Minimum 2 years of experience in a similar role within the financial services sector
* A sound background in compliance monitoring, risk management and reporting processes
* Knowledge of systems of control and ability to follow clearly defined procedures
* Experience in working under pressure, prioritising, and working to tight deadlines
Qualifications:
* CeMAP or equivalent professional financial services qualification as a minimum
* CeRER desirable
* A full UK driving licence is essential
Benefits:
* Company Sick Pay
* 25 days Holiday with the option to buy more
Next Steps:
To apply for our vacancy for a Regional Compliance Manager, please click on Apply and upload a copy of your CV.
We look forward to hearing from you.
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Sacco Mann are currently working on an exciting opportunity with an award-winning North East law firm looking to bring an experienced Legal Assistant to their highly successful Conveyancing team. The firm are open to applications from those previously in fee earning positions looking to take a step back as well as experienced secretaries seeking the next step in their careers. If you have a solid background residential conveyancing secretarial experience and live locally to Newcastle-upon-Tyne, then our client would like to hear from you.
The role:
- Assisting fee earners with a broad range of conveyancing transactions
- Issuing contracts, preparing mortgage reports and dealing with enquiries in sale transactions
- Preparing files for completion and submitting applications for registration after completion
- Liaising closely with clients, solicitors, estate agents and financial advisers on a daily basis
The candidate:
- Previous experience of supporting a fee earner with all aspects of conveyancing transactions is essential
- Confident communication with a range of clients and persons involved in the transaction/completion processes as this team is all about relationship building and providing high standards of client care
This is a brilliant legal assistant role where you will be working particularly closely with very experienced fee earners in the field.
How to Apply
If you are interested in finding out more about this Conveyancing Legal Assistant role in Newcastle, please contact Helen Mauborgne at Sacco Mann on 0113 467 9786 for a confidential discussion or to apply now.
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