Back to search
- Annual Bonus
- 35 Hour week, office based
- 25 Days Holiday
- Collaborative work environment
A highly regarded independent Investment firm are seeking an experienced Compliance Officer to oversee their Compliance team who are based at their West Oxfordshire office.
This is a significant role within the business and requires an accomplished individual with their CISI Level 6 Diploma in Financial Compliance (or equivalent) and who holds the SMF 16 function.
Key Job responsibilities
- To provide an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates
- The focus is primarily on FCA compliance but also encompasses compliance with Data Protection Act and Proceeds of Crime Act
- To ensure that the business and its Appointed Representatives comply with all regulations, which apply to its permitted activities, by way of undertaking monitoring reviews to demonstrate compliance
- To assist in the development and maintenance of effective systems and processes within the Organisation
Skills and Knowledge Requirements:
- Relevant qualification such as CISI Level 6 Diploma in Financial Compliance
- To Hold the SMF 16 function (Compliance oversite function)
- Ability to manage and oversee a small compliance team
- Experience within investment/financial planning Industry is essential.
You will be located within a commutable distance to Witney, Oxfordshire, OX28 as this is full time office-based role.
If you have the skills and experience a role like this requires, please apply today!
