The opportunity
The Right DA Club is an independent Mortgage and Protection club for Directly Authorised Advisers within the UK. We create tailored packages designed to help advisers grow their businesses. Our services include FCA application assistance, compliance support, onboarding help, regulatory reporting, and access to online learning and CPD resources.
Due to our continued growth, we are now looking for an experienced Compliance and Financial Promotions Officer to join our team. The successful candidate must have File Checking experience as well as experience reviewing Financial Promotions. Full CeMAP is required and you must have an Equity Release qualification.
While this role is hybrid, the successful candidate must reside within a reasonable distance from our Head Office in Knowle, Solihull, as they will need to work from the office at least once a week.
Benefits of a Compliance and Financial Promotions Officer
- A health & dental cash plan
- Death in Service
- Company sick pay
- A pension scheme
- A staff referral scheme
- An adviser referral scheme
- A friendly, motivated team and a supportive working environment
- Office closure over Christmas
- Open and communicative relationship with management, with regular 1:1 sessions
Responsibilities of a Compliance and Financial Promotions Officer
- To be responsible for dealing with all file reviews and financial promotions required for TRDA Club paying members.
- To deal with telephone and email compliance support queries for paying members of TRDA Club.
- To demonstrate a suitable level of knowledge and experience to conduct the role.
- To be aware of business, departmental and personal targets and to endeavour to achieve these targets and goals.
- To accurately record any findings and corrective activity on Zoho CRM at all times.
- To respond to job related adviser queries professionally and in a timely fashion.
- To conduct File Checks ensuring these are carried out in accordance with documented procedures and within service level agreements.
- To be responsible for ensuring relevant departmental processes are kept up to date at all times.
- Deliver appropriate services to Directly Authorised firms who pay for a Compliance Support package.
- From time to time, you may be asked to undertake other duties commensurate with the level of position that may be required by the Head of DA, Head of Regulatory Support or a Director.
Requirements of a Compliance and Financial Promotions Officer
- A minimum of 2 years’ experience in a similar role within Financial Services
- Previous experience with Directly Authorised Advisers
- Must have full CeMAP or FPC 1, 2
- Must have ER1 or CeRER
- Excellent verbal and written communication skills
- Ability to work under pressure, prioritise and work to tight deadlines
- Coaching and mentoring and people management skills
- The ability to analyse information with a view to making informed decisions
- Competent on Microsoft Office suite i.e. Excel, Word etc
Preferable but not essential
- IF7 qualification
- Strong knowledge on bridging, commercials, Buy to Lets and Residential
Working Pattern of a Compliance and Financial Promotions Officer
- Monday – Friday
- 9am – 5pm
- The successful candidate will be required to work from our Head Office in Knowle a minimum of once a week.
When submitting an application to The Right DA Club, you are agreeing for us to keep your details on file for 1 year after the application date. You are also agreeing you are happy for us to contact you in regards to any positions we have that may suit your skills and experience within the 1 year period. You can of course opt out at any time by contacting HR.