Great news - I have a skilled SENIOR Compliance officer role linked to & reporting the Head of Compliance within the business. 100% office based 9am to 5pm. HIGH SALARY Links to the ROLE :- • Comply with the FCA’s Consumer Duty requirements, & other requirements in the company manual & processes. • Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures • Work in requirements of the Data protection policy Main Role Purpose: - To Hold the SMF 16 function (Compliance oversite function) • To provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates • The focus is primarily on FCA compliance & also encompasses compliance with Data Protection Act & Proceeds of Crime Acts • Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance • Assist in the development & maintenance of effective systems and processes within the Organisation • Must have a minimum of 5 years’ experience in a similar role • This role is 100% office based Skills & Knowledge Requirements: • Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance • Ability to manage own workload & work within a team • Knowledge of business processes, standards, policies & procedures • Experience within the Financial Services Industry • Exceptional communication skills all levels • Excellent organisational skills HR2024 • Knowledge of Microsoft Word Excel, Outlook & Ideally Intelligent Office, Volume, Imago & Pulse dealing system • Ability to work under pressure at times • Provide leadership for the team • knowledge & understanding of Statements of Principle for Approved Persons PLUS Responsibilities & Limits of Authority: - • To assist the Heads of other departments in any tasks relating to the development of business • Other duties which may be expected & which fall within your capabilities or general area of responsibility • In accordance with the rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc, in order to be able to oversee & monitor the activities that come under those regulations Duties in the Role & Responsibility - • Implement the objectives set out in the CISL Compliance Manual & Compliance Monitoring Programme. • To advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations. • Suggest changes to scope of reviews or focus on areas where new risks are identified. • Ensure employees receiving training in complaint handling procedures. • To assist the Compliance Officer in ensuring that the company establishes & maintains at all times, effective systems or internal controls in order to manage & minimise the risk of losses to clients or to the business in errors, irregularities or fraud • Monitor all aspects of the business to identify actual or potential weaknesses • Act as Compliance Officer in identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements. • Assist in providing advice & coaching to employees to enable them to deliver process improvements APPLY IF YOU ARE A SENIOR COMPLIANCE OFFICER IN FINANCIAL COMPLIANCE SKILLS WITH SMf16 FUNCTION EXPERIENCE YOU MUST HAVE