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We are looking for a Compliance Officer for our client! Previous experience within the Financial Services industry is essential, and preference would be that you have the RO1 qualification and be working towards your diploma. The successful candidate will be working directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company's own in-house policies. Your expertise in effective risk management and regulatory knowledge will play a crucial role in maintaining the company's integrity and reputation.
This role will be an office based position, and previous use of the iO system would be advantageous.
Responsibilities:
路 To gain a thorough working knowledge of the companies' compliance policies and procedures.
路 To assist the Compliance Manager with creating, updating, and maintaining the policies, procedures and guidance notes issued to all employees and to upgrade the compliance manual at the end of each year.
路 To understand the companies T&C scheme and to assist with supervisory activity such as reviewing and maintaining KPIs, CPD, file reviews and T&D Plans for IFAs and the mortgage adviser.
路 To develop an understanding of the current regulatory issues and to support the Compliance Manager with the future impact of new legislation such as MIFID 11, GDPR and SMCR.
路 To assist the compliance manager with training e.g. LEO Learning on-line quarterly training which is compulsory for all staff and keep records and results spreadsheet up to date.
路 To provide support and research to the compliance manager for training presentations on subjects such as Consumer Duty, data protection and AML.
路 To understand the qualifications and experience required to perform distinct roles and to assist the Compliance Manager to create training and development plans for staff.
路 To maintain records and logs on compliance areas such as SPSs, exams, complaints, data breaches, document versions, qualifications, KPIs etc.
路 To update and maintain electronic computer records of compliance information.
路 To understand how to use Excel, Microsoft Word, Power-point, and other software including internal software such as IO.
路 To be able to download and upload reports and documents from the K drive and The Hub
路 To help the Compliance Manager with any other relevant tasks as and when required e.g. data subject access requests.
路 To take responsibility for typing up the agenda and minutes of meetings when requested.
Experience and Qualifications:
- Proven experience in a compliance role within the financial services sector- In-depth knowledge of the FCA standards and regulations- Excellent knowledge of reporting procedures and record keeping- Outstanding communication and interpersonal skills- Ability to work under pressure and meet deadlines.- Solution and service orientated.- Technology savvy and willing to embrace new systems and software.- Good analytical and decision-making skills.- Strong influencing skills.- Discrete and professional in all communication.- Strong emotional intelligence.- Effective listener.- Willingness to challenge in a constructive and non-confrontational manner.- Organised multi-tasker and effective prioritisation.- Adaptable and flexible.- Self-motivated and willing to work at times in isolation and as part of a wider team.
If you are interested in applying for this position, then please submit a copy of your CV to Josie at Artemis Recruitment.
