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Compliance Officer

Compliance Officer

Artemis Recruitment Consultants Ltd

Posted 2 days ago, valid for 7 days

Horsham, West Sussex RH13 0NE, England

£40,000 - £48,000 per annum

Full Time

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Sonic Summary

Our client is seeking a Compliance Officer to enhance compliant processes and identify risks within the organization.
The role requires a minimum of 3 years of experience in compliance or a related field and offers a salary of £40,000 to £50,000 per year.
Key responsibilities include conducting audits, monitoring compliance, and reviewing client files to ensure adherence to regulatory requirements.
Candidates should possess knowledge of FCA rules and other relevant regulations, with qualifications such as QCA Level 4 or higher being advantageous.
The position also involves providing guidance to firms, handling consumer complaints, and preparing action plans following audits.

Our growing client is looking for a Compliance Officer to assist with compliant processes and procedures along with identifying and mitigating risks.

Main Responsibilities:

Ensure awareness and compliance of regulatory responsibilities and ensuring that the consumer outcomes are at the core focus
To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the firm or individual being of a risk to the company
To conduct Induction, Monitoring, Investigation Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions agreed by the Compliance Manager
Accurately recording outcomes on the in-house systems
Review client files to confirm suitability, good consumer outcomes and adherence to regulatory and company requirements
Identify and require remedial action from members firms where necessary
To identify any breaches or misconduct by firms and individuals and report any training/compliance failures to the Compliance Manager
To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of everyone within the firm and an over all risk assessment based upon the findings of any audit
To provide guidance to firms and individuals in setting up and maintaining good business and compliance practices and procedures
To include review and approval of financial promotions and the provision of technical support
To provide feedback to other departments within the company
To handle consumer complaints in a fair and non-biased manner, in accordance with the regulatory requirements and procedures
To undertake or lead on project work where required by the Compliance Manager

Skills:

Knowledge of the FCA Rules
Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO)
CII Financial Services Regulation and Ethics (R01) (desirable)
Intelligent Office experience
Knowledge of the financial services industry, products and risks
Working knowledge of a Compliant Sales Process and Disclosure requirements
QCA Level 4, 6 or 6+ qualification

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