SENIOR COMPLIANCE OFFICER linked to Head of Compliance - FINANCIAL SERVICES - Witney, Oxfordshire

Great news - I have a skilled SENIOR Compliance officer role linked to & reporting the Head of Compliance within the business. 100% office based 9am to 5pm. HIGH SALARY

Links to the ROLE :-

• Comply with the FCA’s Consumer Duty requirements, & other requirements in the company manual & processes.

• Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures

• Work in requirements of the Data protection policy

Main Role Purpose: -

To Hold the SMF 16 function (Compliance oversite function)

• To provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates

• The focus is primarily on FCA compliance & also encompasses compliance with Data Protection Act & Proceeds of Crime Acts

• Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance

• Assist in the development & maintenance of effective systems and processes within the Organisation

• Must have a minimum of 5 years’ experience in a similar role • This role is 100% office based

Skills & Knowledge Requirements:

•  Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance

• Ability to manage own workload & work within a team

• Knowledge of business processes, standards, policies & procedures

• Experience within the Financial Services Industry

• Exceptional communication skills all levels

• Excellent organisational skills HR2024

• Knowledge of Microsoft Word Excel, Outlook & Ideally Intelligent Office, Volume, Imago & Pulse dealing system

• Ability to work under pressure at times

• Provide leadership for the team

• knowledge & understanding of  Statements of Principle for Approved Persons

PLUS Responsibilities & Limits of Authority: -

• To assist the Heads of other departments in any tasks relating to the development of business

• Other duties which may be expected & which fall within your capabilities or general area of responsibility

• In accordance with the rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc, in order to be able to oversee & monitor the activities that come under those regulations

Duties in the Role & Responsibility -

 • Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme

. • To advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.

• Suggest changes to scope of reviews or focus on areas where new risks are identified.

• Ensure employees receiving training in complaint handling procedures.

• To assist the Compliance Officer in ensuring that the company establishes & maintains at all times, effective systems or internal controls in order to manage & minimise the risk of losses to clients or to the business in errors, irregularities or fraud

• Also monitor all aspects of the business to identify actual or potential weaknesses 

• Act as Compliance Officer in identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.

• Assist in providing advice & coaching to employees to enable them to deliver process improvements

APPLY IF LINKED TO SENIOR/HEAD OF COMPLIANCE OFFICER IN AN INVESTMENT BUSINESS FINANCIAL COMPLIANCE SKILLS.