Great news! A role I am recruiting for is a skilled Compliance Officer linked to reporting to the Head of Compliance within the business. This position is 100% office-based, 9am to 5pm.
Responsibilities:
1. Comply with the FCA’s Consumer Duty requirements and other requirements in the company manual and processes.
2. Maintain records in accordance with company compliance requirements as set out in business compliance manuals and procedures.
3. Work in accordance with the Data Protection policy.
4. Hold the SMF 16 function (Compliance oversight function).
5. Provide an effective systems and controls framework across the organisation to ensure compliance with all regulatory regimes under which the business operates.
6. Focus primarily on FCA compliance and also encompass compliance with the Data Protection Act and Proceeds of Crime Acts.
7. Undertake and monitor reviews to demonstrate compliance.
8. Assist in the development and maintenance of effective systems and processes within the organisation.
Minimum Requirements:
1. Must have a minimum of 5 years’ experience in a similar role.
2. This role is 100% office-based.
Skills & Knowledge Requirements:
1. Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance.
2. Ability to manage own workload and work within a team.
3. Knowledge of business processes, standards, policies, and procedures.
4. Experience within the Financial Services Industry.
5. Exceptional communication skills at all levels.
6. Excellent organisational skills.
7. Knowledge of Microsoft Word, Excel, Outlook, and ideally Intelligent Office, Volume, Imago, and Pulse dealing system.
8. Ability to work under pressure at times.
9. Provide leadership for the team.
10. Knowledge and understanding of Statements of Principle for Approved Persons.
Responsibilities & Limits of Authority:
1. Assist the Heads of other departments in any tasks relating to the development of the business.
2. Other duties which may reasonably be expected and which fall within your capabilities or general area of responsibility.
3. In accordance with the rules and guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc., in order to oversee and monitor the activities that come under those regulations.
Duties in the Role & Responsibility:
1. Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme.
2. Advise employees on all applicable regulatory obligations, including advising on developments and on procedures required to ensure compliance with the obligations.
3. Suggest changes to the scope of reviews or focus on areas where new risks are identified.
4. Ensure employees receive training in complaint handling procedures.
5. Assist the Compliance Officer in ensuring that the company establishes and maintains effective systems or internal controls to manage and minimize the risk of losses to clients or to the business in errors, irregularities, or fraud.
6. Monitor all aspects of the business to identify actual or potential weaknesses.
7. Act as Compliance Officer in identifying, investigating, and rectifying rule breaches, and fulfill associated reporting requirements.
8. Assist in providing advice and coaching to employees to enable them to deliver process improvements.
APPLY IF LINKED TO COMPLIANCE OFFICER IN AN INVESTMENT BUSINESS WITH FINANCIAL COMPLIANCE SKILLS.
#J-18808-Ljbffr