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Our client, a high-net-worth specialist financial planning firm, are looking for a compliance specialist to join the team; The firm are eager to find someone who can oversee regulatory requirements as-well as identify and manage business risks and the implementation of compliance 'bestpractice’.
Core Responsibilities
- Acting as a statutory director and leader, to be an advocate for great work.
- Attending senior management meetings to participate and be responsible for decision making, helping to shape and develop the culture of the company and support the company needs, vision and strategy.
- Replying to all member enquiries within one business day (which could be a holding response).
- Ensuring all work is completed within the company service level agreements.
- Ensuring that the CRM is up to date for all tasks, activities, and projects.
- Maintaining good timekeeping to show respectfulness to your colleagues.
- Ensuring your diary is an accurate reflection of your activity.
- Maintaining Continuous Professional Development to meet personal development needs.
- Promoting the profile of the company within the industry and with trusted partners.
- Demonstrating behaviours which set the culture of the company.
- Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and the relevant rules from the FCA at all times.
- The provision and continual improvement of compliance activities and processes to support the company’s needs, vision, and strategy, whilst ensuring compliance with government regulations and industry standards.
- Responsible for the delivery, maintenance, and continual improvement of the Compliance folder of the Business Management System.
- Assisting the Board in their delivery of the company’s agreed business plan and acting as a trusted adviser.
- Managing the company relationships with external regulators and consultants.
Experience and Qualifications Required
- Level 6 Qualification and Diploma in Regulated Financial Planning.
- Good knowledge and understanding of the high-level standards expected by the FCA including Consumer Duty and the FCAsourcebooks: Principles for Business Systems and Controls Sourcebook, Code of Conduct, Threshold Conditions, Statement of Principle and Code of Practice for Approved Persons, Fit and Proper test for Employees and Senior Personal, Training and Competence, General Provisions, Supervision, Dispute Resolution: Complaints, Business Standards COBS / ICOBS, and Prudential Standards.
- Good knowledge and understanding of the FCA’s reliance on senior management responsibility.
- Awareness of the Companies Act, and responsibilities associated with being a director.
- Good understanding and knowledge of other relevant legislation such as Data Protection Act, Insolvency Act, Company Director Disqualification Act and the Bribery Act.
- Desire to work towards becoming a Compliance Director and adopt all the responsibilities that follow; This includes becoming SMF16/17 within 12 months of starting.
Benefits
- Group Life insurance: The higher of 4x salary or £300,000
- Income Protection: 75% salary
- Private Medical Insurance
- Employer Pension Contribution of 10%
- Interest Free Season Ticket Loan
- 30 Days Holiday + Bank Holidays
- Flexible Working Hours
- Work from Home
