Company: Rosemount Financial Solutions (IFA) Ltd
Location: Basingstoke (in-office)
About Rosemount Financial Solutions (IFA) Ltd: Rosemount Financial Solutions (IFA) Ltd is a leading independent financial services network committed to providing tailored financial solutions to our clients. We pride ourselves on delivering exceptional service and guidance to help our advisers and their clients achieve their financial goals.
Position Overview:
The successful candidate will support the Compliance Team with a range of important monitoring and oversight activities, including reviewing annual reviews, mortgage case checking, and financial promotions reviews to help ensure regulatory and internal standards are met. The role will also involve regular interaction with advisers, providing support and guidance where required so strong communication skills are essential.
The position will play a key role in supporting adviser standards and helping to ensure good client outcomes, while contributing to the company’s compliance oversight framework and adherence to regulatory requirements.
This role is office-based and will involve regular use of Microsoft Teams for meetings and adviser support, so strong organisational and IT skills are essential.
Responsibilities:
- Respond to adviser queries and provide support, taking into account compliance requirements, company processes, and good customer outcomes.
- Carry out mortgage case checks to make sure cases are compliant, suitable, and meet both regulatory and internal standards, highlighting any issues or areas for improvement where needed.
- Review annual reviews to ensure they are accurate, appropriate, and in line with company and regulatory requirements.
- Review financial promotions, including marketing materials and social media content, to ensure they meet both the FCA & our standards.
- Support with the administration of Professional Indemnity cover, helping to maintain records and ensure advisers and business activities remain appropriately covered.
- Assist with handling and analysing data and MI relevant to adviser competence.
- Being flexible and keen to get involved with other areas of Compliance, for example, audit preparation, complaint handling, and checking professional development levels of our advisers.
- Collaborate with team members to ensure excellent client service and satisfaction.
- Stay updated on mortgage industry regulations, compliance requirements, and best practices.
Qualifications and behaviours :
- Good understanding of FCA rules and principles.
- Strong written communication skills, with the ability to produce professional emails and reports.
- Interest in the wider financial services industry.
- Strong analytical skills and attention to detail.
- Excellent communication and interpersonal skills.
- Ability to work independently and as part of a busy team.
- Good working knowledge of Microsoft Office, including Word, Excel, PowerPoint, and Teams.
- Comfortable working within a fast-paced compliance team environment.
- Financial services industry experience or qualifications are preferred but not essential.
A degree or previous industry experience is desirable but not essential for this role. We are more interested in someone who is keen to learn, has an interest in the industry, and wants to build a long-term career.
Benefits:
- Hands-on training and mentorship from experienced colleagues. You will gain considerable compliance knowledge working in this Department, and Compliance is an excellent career path.
- Pathway to gain recognised industry qualifications.
- Exposure to diverse aspects of financial services.
- Opportunity to work with a reputable and growing firm in the industry.
- Competitive salary.
Pay: £26,000.00 per year
Benefits:
- Company events
- Company pension
- On-site parking
- Private medical insurance
Work Location: In person
