Basic £50k + Package
Working for a growing & dynamic wealth management firm you will be responsible for ensuring that the firm operate within the guidelines of the Financial Conduct Authority by implementing and overseeing company compliance policies and procedures.
The Financial Services Compliance Officer role will require you to coordinate the training & competence requirements of the staff and organize training where required to ensure that the team are monitored and supported in their roles.
Key Responsibilities of the Financial Services Compliance Officer role:
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 maintains accurate, detailed and up to date compliance records across all areas of the fi...