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Supervision and Risk Analyst – Cheshire – Up to £32,000

This job is no longer available

IDEX Consulting LLP
27 March 2012
24 April 2012
Graeme Hyland
Contract Type
On Target Earnings
£30000 - £32000 per annum

Further information

An experienced Financial Services Supervision and Risk Analyst is required to liaise with Field Based Compliance Consultants to ensure firm visits are conducted in a timely and professional manner. To collate relevant information from the team to ensure any T&C risks are being managed at group level. To provide information from Head Office to Consultants to ensure they are fully equipped to carry out a visit in a professional manner. To liaise with the Compliance Team regarding any breaches of the T&C Scheme and on going monitoring.

Job Role:

• To provide pre-initial visit data to Field Based Compliance Consultants
• Collate and review data from Field Based Compliance Consultants to identify trends and risks at group level and ensure monitoring and supervision is being carried correctly
• To construct and develop a risk rating system which records T&C information in order to monitor firms and advisers appropriately
• Liaise with Compliance Consultants regarding T&C related issues. This might include facilitating training and development at firm or group level as a result of complaints or breaches
• To contribute to company compliance publications regarding T&C and risk related issues
• To produce ad-hoc T&C and other risk data as required by the Compliance Team
• Monitor the completion of regular online designated Adviser knowledge testing within timescales as set by the Compliance Team & ensure tests remain fit for purpose
• To contribute to the internal staff generic compliance training plan
• Take responsibility for liaising with Field Based Compliance Consultants in order to ensure firm audit and supervision visits are conducted at the required times and actions from these are closed in a reasonable timescale
• To review various T&C record keeping systems to ensure regulatory requirements are being met

Skills and Experience Required:

• Financial Planning Certificate (or equivalent)
• H15 would be a distinct advantage
• Regulatory experience gained from within the financial services industry, preferably in T&C.
• Attention to detail with excellent planning and organising skills
• Ability to work within stringent timescales
• Ability to work as an individual and as part of a team
• Ability to follow procedures and practices to meet with the standards expected
• Ability to interpret data and to analyse where existing procedures and practices do not meet with current regulatory standards
• Excellent standard of written & verbal communication
• Ability to empathise and build strong business relationships internally and externally

For more information please contact Graeme Hyland on 07896 933622 or email graeme.hyland@idexrecruitment.comPlease view for further Insurance opportunities.

If your application is successful we will contact you to discuss the opportunity in more detail, within 48 hours of receiving your application.

Due to the overwhelming application response we receive through various sources should you not hear from us within one week then please assume your application has been unsuccessful.

IDEX Consulting LLP