Area Compliance Manager

at  LSL Property Services

To ensure compliance with both in house and regulators’ compliance procedures for appointed representatives
To ensure appropriate standards/procedures are followed by authorised appointed representatives
Instruct, coach and monitor individuals, producing reports and individual training/development plans ensuring all outstanding actions are completed within agreed timescales
Identifying areas where Advisors can improve their standards and associated risk ratings
Conduct and evaluate assessments of Advisors, as part of an on-going regulatory regime including audit of defined procedures, competence requirements
Identify areas of improvement, ensuring an appropriate report or action plan is communicated with responses monitored to ensure deadlines are timely and achievable
Facilitate in the delivery of appropriate training, liaising with the PRIMIS training team where necessary
Demonstrate a suitable level of industry knowledge and experience to conduct the role
Ensuring that appropriate needs are identified and where appropriate facilitate delivery of additional support to ensure needs are being met
Supervise individual Advisors in accordance with the approved training and competence scheme
Other duties commensurate with the level of position that may be required by the Compliance Head / Director.