Description
As a Compliance & Complaints Support Officer, you will work closely with the Head of Compliance to deliver Compliance and Policy objectives. The CCSO will play an essential role predominantly in complaints handling, but also policy, financial crime prevention, financial promotions approval, analysis and research, as required.
Key Responsibilities
* Complaints handling including investigations, trend and root cause analysis and reporting.
* Prepare appropriate compliance MI to identify trends and potential areas of risk / non-compliance.
* Assess product, compliance or operational risks and assist in the development of risk management strategies.
* Assist in the mitigation of regulatory risks including financial crime.
* Identify weaknesses in the process and recommend solutions to mitigate risk.
Skills, Knowledge and Expertise
* Diploma in Financial Planning, CeMAP or equivalent (essential)
* Complaint handling experience gained within Financial Services/IFA background (essential)
* Good knowledge of key areas of financial planning and advice
* Possess a high level of knowledge of risk management and governance, the regulatory system, FCA regulatory rules and guidelines and the regulatory and legislative horizon.
* Experience with designing and writing policies and procedures.
* Knowledge of SRA standards and regulations (an advantage).
Please refer to our job description to review the responsibilities and person specification in more detail.
We reserve the right to close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.
Benefits
* 30 days holiday plus public holidays
* Wellbeing day
* Birthday holiday
* Volunteering day
* Private medical insurance, 24/7 digital GP and health advice
* Employee assistance programme providing support for your mental and physical health
* Group pension scheme
* Life assurance scheme
* Eyecare vouchers
* Family leave
* Referral scheme
We create, enhance, and preserve wealth.
We are the first and only firm in the UK to bring together independent financial planning, asset management, tax, HR, and private and corporate legal services.
We are forward-thinking and tech-driven, using technology to eliminate paperwork, improve communications, and enrich the relationship between client and adviser.
At Progeny, we believe that we all have the power to make good things happen. We want to use our success as a catalyst for making real change. We created the Progeny Foundation to support local charities including Zarach and we have recently achieved the globally recognised B-Corp certification.
In 2023, we continued to onboard new team members, resulting in an overall growth of 17%. We are the proud winners of the Yorkshire Financial Awards 2024 Best Employer award for the third year running.