Compliance and Resolutions Executive

  • Location

    Leicester, Leicestershire

  • Sector:

    Office & Professional

  • Job type:


  • Salary:

    £30000 - £35000 per annum + great benefits

  • Contact:

    Danny Harding

  • Contact email:

  • Job ref:


  • Published:

    13 days ago

  • Expiry date:


  • Startdate:


Our client is looking for a Compliance and Resolutions Executive to join their growing team based from their offices in Leicester.

This role is responsible for ensuring the business operates exceptional process and controls and manages strong counterparty relationships.

Main Duties:

  • You will take ownership of service recovery case management through skills and activities such as scheme deconstruction, file reconstruction, data mining and investigation, forensic assessment, document analysis in order to prepare overviews, reports and recommendations
  • Ensure all processes are followed, using standard frameworks and templates, subject to risk and compliance oversight
  • Provide written responses that are clear, articulate and straight-forward; with accurate overviews of the complaint and reasoning behind the response
  • Measure and refine redress process and calculations. Research and benchmark against ongoing POS / FOS decisions to ensure firm policy and approach aligned with the regulators
  • Recognition of any litigation issues, case analytics, research, document preparation, PI preparation, witness statement preparation, internal reports, relationship and contract management, internal cohesion and team working with other departments specifically with Risk and Compliance
  • Assess whether conduct risk is embedded and the firm is consistently delivering fair outcomes to consumers. Precedent case handling, including identification and assessment of case themes, recommendations for improvement
  • Updating knowledge and understanding of HMRC and relevant legislation, regulations and guidance
  • Create and capture MI, data analysis (trends/themes/risks), process intervention and improvement
  • Develop recommendations underpinned by robust data analytics and MI for continuous improvement of the firm's risk management

About you:

  • Exceptionally proactive, with the ability to innovate and challenge in support of the business model operation
  • A good understanding of HMRC requirements, rules, manuals, guidelines and compliance requirements for SIPP/SSAS, ISA's and/or GIA's and /or Platform Servicing
  • Good understanding of DPA and DSAR legislation
  • An understanding of legal documentation
  • Solid risk and controls awareness
  • Professional qualifications including CII CF1, CF2, CF4 and FA2 or equivalent or an interest to study towards
  • Understanding of trust-based pension schemes and trustee duties is ideal

This is a full time role offering a salary circa £30,000 - £35,000 (dependant on skills and experience) Benefits include performance related bonus, holiday, pension, and much more.

Please contact Gemma Lawrence at Meridian on 07876 250 447 to apply and find out more or email

Meridian Business Support is acting on behalf of our Client as a Recruitment Agency.