Compliance Coordinator

Job title: Compliance Co-ordinator

Salary: £40,000

Location: Home-based role with regular travel across the Stoke/Staffordshire region

PURPOSE OF ROLE

Our client is seeking a Compliance Coordinator to manage the oversight of their UK Retail Appointed Representatives and Introducer Appointed Representatives, ensuring full compliance with FCA regulations. 

RESPONSIBILITIES

• Monitor ARs and IARs for regulatory compliance
• Maintain oversight frameworks and ensure documentation is up to date
• Produce reports for management and regulatory forums
• Support accurate and timely FCA reporting
• Collaborate with internal teams and incorporate stakeholder feedback

DAY-TO-DAY

• Conduct regular compliance checks
• Address issues with ARs/IARs and provide guidance
• Prepare and present reports
• Update policies and frameworks
• Travel within the assigned region as needed

EXPERIENCE & REQUIREMENTS

• Knowledge of FCA rules on ARs/IARs
• Experience in compliance or quality assurance
• Educated to GCSE Level
• CII/Dip CII preferred
• Insurance exposure is an advantage

SKILLS

• Strong knowledge of FCA compliance
• Confident communicator and relationship builder
• Detail-focused with good reporting skills
• Proficient in Microsoft Office
• Self-motivated and organised

If you have the relevant experience or know someone that does please contact me now on 07393 536 954 or email us at admin@lawesgroup.co.uk