Compliance Policy Officer - Pink / First Complete

LSL Property Services plc
£30,000 per annum
10 Aug 2017
31 Aug 2017
Contract Type
Full Time


LSL’s award winning Financial Services Division (Pink & First Complete) are recruiting for a Financial Services Compliance Policy Officer to join our established and successful team across the UK supporting regulated advisors & appointed representatives throughout LSL’s FS Division.

Job Title

Policy Officer

Group Company

Pink / First Complete

Location & Travel

Based from Lichfield

With requirement to travel

Role Purpose

• Ensure appropriate standards/ procedures are followed by the network and its appointed representatives

• Review and inform Senior Management in respect of any rules or regulation that apply, including changes that have any impact on the network

• Provide compliant guidance and support to staff, Appointed Representatives (AR) and other parties engaged for compliance support, such as Directly Authorised (DA) firms as part of the DA club arrangements

• To Manage aspects of the technical and policy processes for the network

Main Accountabilities

• Keep up-to-date with external regulatory requirements with a view to ensuring the network remains compliant at all times and is able to exploit business opportunities that could be developed around them

• With regard to Financial Promotions, to provide written and verbal guidance to employees, management and AR’s on the implications of regulatory requirements and how to comply

• Provide technical compliance support and technical guidance via letter, email and telephone to the network, AR firms and DA consultancy customers

• Liaise with, and provide support and technical guidance to internal staff as appropriate

• Raise awareness of and understanding of the need for a 'compliance culture’

• Identify and report any breaches of procedure

• Always consider the principles of Treating Customers Fairly (TCF) and to operate in a way that puts the customer first

• Be aware of business, departmental and personal targets and endeavour to achieve these targets and goals

• Operate with high levels of confidentiality as role has access to sensitive and confidential information