Recruit Wealth are delighted to be representing one of our very best Financial Planning clients in Hertfordshire for a Compliance Officer, to oversee compliance, T&C and AML, whilst working closely with the senior leadership team.
Overview of the opportunity
To support the SMF16 and SMF17 functions. Responsible for ensuring that the company operates within the guidelines of the Financial Conduct Authority by implementing and overseeing compliance policies and procedures.
To coordinate the training & competence requirements of the advisory staff and organise training where required to ensure that the team are monitored and supported,
Compliance
1. Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules and Statements of Principle & Code of Practice and any relevant correspondence from the FCA at all times
2. Dealing with the regulator in an open and cooperative way when required and disclosing anything relating to the firm of which the FCA would reasonably expect notice.
3. Making sure appropriate ethical standards exist within the firm at all times
4. Keeping up to date with relevant regulatory, product, legislative, technical requirements
5. Making sure appropriate systems and controls are in place covering all areas of the firm’s business activities and these are reviewed on a regular basis
6. Making sure the firm main...