Compliance Consultant

Vacancy Location

UK-Solihull

Job Profile

Financial Promotions Consultant - Compliance Consultant

PRIMIS Mortgage Network are the largest dedicated Mortgage & Protection Network in the UK with some 3000 advisors and circa 1000 partner AR firms nationally. PRIMIS form part of the LSL Property Services plc group.

We are recruiting for a Compliance Consultant to join our Financial Promotions department. The team are an integral part of our large Risk and Compliance function.

The role duties include the following - to review, approve and proactively develop Appointed Representative (AR) financial promotion communications in line with FCA and ASA requirements, to ensure promotion communications issued by our AR firms are clear, fair, and not misleading and play a prominent role in delivering good customer outcomes.

The role is a hybrid role with 2 days per week required at our HQ in Solihull and 3 days per week from home.

Main Accountabilities:

• Provision of assistance and guidance to advisers so that all financial promotions are compliant ensuring the customer is at the heart of everything we do.
• Ensure relevant policies and procedures are updated as necessary where things change.
• Follow FCA rules and guidelines for financial promotions and adhere to the B2B and B2C approval processes.
• Ensure timely and comprehensive oversight across all elements of financial promotions across all mediums.
• Delivery of effective and efficient AR website & social media licence programmes.

Skills, Qualifications & Experience Required for the role:

• Minimum of 2 years' experience within the Mortgage & Protection financial services sector
• CeMAP 123 (or equivalent) qualification is a compulsory requirement for the role.
• Demonstrable knowledge of the UK mortgage and personal protection sector.
• General knowledge of FCA regulation including Consumer Duty requirements.
• Attention to detail.
• Desire to learn and to grow with the role and regulatory requirements

Salary is between £28,000 and £30,000 per annum DOE

Applications in confidence to James McNee of PRIMIS / LSL's internal recruitment function james.mcnee@primis.co.uk