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Compliance Officer
The role:
A successful financial services business focused on supporting customers for the past 30 years with excellent customer service is now seeking to appoint a Compliance Officer. The role of Compliance Officer reports to Head of Compliance. Compliance Officer is the point of contact for the business to provide support on all compliance matters including regulatory developments, regulatory change projects, financial promotions & delivery of Compliance Monitoring Plan. Hybrid/Flex working. Further responsibilities include…
- Provide support to the business on interpretation of regulation including FCA rules, data protection and financial crime
- Review any financial promotions or internal procedural changes to ensure full compliance
- Support delivery of Compliance Monitoring Plan by carrying out monitoring activities
- Agree and monitor actions arising from the monitoring activity
- Oversee & action the compliance & data protection inbox
- Review, update and maintain compliance policies and procedures
- Maintain good knowledge & understanding of all policies coupled with appropriate regulatory horizon scanning
The Company:
An award winning successful financial services business with strong customer service and a reputation for sector expertise offering hybrid/flex working.
The Person:
- Previous experience of working in Compliance (Financial Services). This could be someone looking to achieve the next step in their career including someone looking for a career path to Compliance Manager and beyond.
- Knowledge of FCA handbooks would be an advantage (including DISP, CONC, etc.)
- Accuracy and attention to detail
- Good analytical and investigative skills
- Ability to converse with Senior Managers and provide feedback
- Excellent communication skills, both written and verbal
Salary: £40k plus bonus, pension, 25 days holiday (option to purchase additional 5 days), voluntary health plans including health and dental, life assurance, enhanced maternity and adoption pay, gym discount
