At a Glance
- Tasks: Ensure compliance with regulations and improve business processes in a dynamic environment.
- Company: Join a leading recruitment agency focused on compliance in the financial services sector.
- Benefits: Competitive salary, generous holiday allowance, and opportunities for professional growth.
- Other info: Work in a supportive culture that values continuous improvement and embraces change.
- Why this job: Make a real impact by ensuring compliance and enhancing business operations.
- Qualifications: Experience in compliance within pensions or investments and strong communication skills.
The predicted salary is between 52000 - 52000 £ per year.
Red Recruitment is looking to recruit an experienced compliance consultant with previous pensions and investments experience and a good awareness of the UK regulatory environment. The salary is up to £52,000 per annum and the successful candidate must have previous compliance experience.
Benefits and Package for a Compliance Consultant:
- Salary: Competitive
- Hours: Full-time
- Contract Type: Permanent
- Location: Liverpool
- Generous Holiday Allowance
Key Responsibilities of a Compliance Consultant:
- Complete scheduled monitoring reviews in a timely manner.
- Identify and investigate issues and/or trends which may adversely affect the businesses' ability to comply with applicable legislation and/or regulations.
- Produce compliance monitoring review reports for Senior Management.
- Follow-up activities to ensure effective remediation of issues identified from the monitoring reviews and take responsibility for the delivery of agreed corrective actions and resolution of issues where appropriate.
- Maintain a close working relationship with other departments, particularly the Advised Sales Force, Guidance team, Legal, Investment Operations, Pensions Administration, Operations Control and HR teams.
- Manage the internal Complaints and Breaches mailbox ensuring all notifications are logged accordingly and escalated and dealt with in a timely manner.
- Log and track all firm breaches, ensuring that each breach is documented accurately, escalated, and investigated in line with company procedures.
- Perform thorough investigations into breaches, identifying the causes and potential impact on the business.
- Work closely with relevant teams to implement corrective actions and prevent similar breaches from occurring in the future.
- Ensure appropriate compensation is calculated and applied where the issue has caused a monetary loss to an individual.
- Assist the Compliance Manager in creating a supportive culture based on continuous improvement & implementing Compliance throughout the business.
- Ensure all regulatory requirements are adhered to in the course of carrying out daily activities.
- Investigate and finalise complaints appropriately and in accordance with FCA DISP regulations.
- Conduct effective root cause analysis and identify root cause corrective action.
- Identify trends, look at root cause of issues and ensure recommendations in place to improve business processes.
- Make recommendations to improve processes to the business and ensure implementation.
- Co-ordinate FCA Reporting, including: liaising with the business to provide information on what is required for FCA reporting and timely reminders to ensure all filing is completed within regulator timeframes.
- Collate all relevant compliance regulatory information and upload to My FCA in preparation for the Compliance Manager's assessment.
- Maintain the internal Certificated Function register accurately to ensure governance, oversight, and MI reporting.
- Ensure all certificated regime employees have a valid Statement of Professional Standing (SPS).
- Produce regulated references as required.
- Produce MI for the monthly compliance board report.
- Keep up to date on changing industry legislation that impacts the business.
- Complete Ad-hoc project work as required to meet business needs.
- Be passionate about and demonstrate behaviours in line with the Company's ethos, vision and key principles.
Key Skills and Experience of a Compliance Consultant:
- Experience in the Financial Service industry ideally with a pension and/or investment focus.
- Ability to understand and navigate the FCA handbook.
- Excellent communication skills at all levels, both verbal and written, including the ability to be discreet and confidential.
- Proficient in the use of MS Office and Intelligent Office.
- Able to work to deadlines with proven time management skills.
- Strong organisational and problem-solving skills, and ability to adopt a logical approach.
- Thorough approach to work, with excellent attention to detail.
- Approachable and self-motivated.
- Embraces change with a positive and flexible attitude.
- Ability to articulate solutions both internally and externally.
If you are interested in this position as a Compliance Consultant and have the relevant experience required, please apply now!
Compliance Consultant in Liverpool employer: Red Recruitment
Red Recruitment is an exceptional employer, offering a competitive salary of up to £52,000 per annum for the Compliance Consultant role in Liverpool. With a strong focus on employee growth and a supportive work culture, we provide generous holiday allowances and opportunities for continuous improvement, ensuring that our team members thrive in their careers while contributing to a dynamic and compliant business environment.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Consultant in Liverpool
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Red Recruitment looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Consultant in Liverpool
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Red Recruitment. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Red Recruitment
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Red Recruitment’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
