Compliance Business Quality Executive

This is a fully remote position, open to applicants in United Kingdom.

📋 Description

• Implement Foster Denovo’s Training and Competence Scheme in accordance with the FCA Sourcebook.

• Ensure that Partners maintain their competence and support their ongoing development.

• Fulfill the obligations outlined in the T&C Manual.

• Lead, mentor, and develop Partners under supervision.

• Foster strong working relationships with supervised Partners.

• Adapt to varying spans of control across multiple Partners and locations.

• Report directly to the Compliance Review Manager.

• Oversee Partners based on established business standards.

• Provide advice and coaching to assist Partners in their continuous development.

• Observe Partners during client meetings to uphold high standards and identify areas for improvement.

• Maintain Partner records in the Compliance database.

• Engage in company and departmental training, competence, and development initiatives.

• Execute corrective actions as identified by other business areas.

⛳️ Requirements

• Level 4 Mortgage Qualification.

• Valid Driving licence and access to a personal vehicle.

• Experience in supervising Financial Advisers.

• Strong knowledge of investment and pension products.

• Prior experience working in an advisory firm within the last 3 years.

• Deep understanding of FCA regulations relevant to a member of the Compliance Team.

• Ability to collaborate effectively within a team.

• Exceptional verbal and written communication abilities.

• Comprehensive knowledge of the sales process, client file requirements, and regulatory stipulations set by the FSA.

• Consistently meet the regulator’s Fit & Proper requirements.

🏝️ Benefits

• 25 days of holiday (increasing by one additional day per annum up to a total of 30 days).

• Discretionary bonus opportunities.

• Foster Denovo will match your personal pension contributions up to a maximum of 7.5%.

• Life assurance coverage of up to 4 times your salary.

• Income protection of 75% of your basic salary in the event of long-term illness.

• Employees can utilize our in-house financial advisers for any financial guidance or knowledge.

• Interest-free loans for season tickets.

• Eye care and childcare vouchers available.

• Access to a benefits portal offering shopping discounts (including holidays, gym memberships, and high street retailers).

• A culture that promotes openness, mutual support, and knowledge sharing.

• Participation in company and departmental training, competence, and development initiatives.