We are looking for a Senior Compliance Coordinator to join our Compliance team at Blackfinch.
As a Senior Compliance Coordinator you will assist the Compliance Officer in maintaining effective regulatory systems and controls to ensure compliance with the FCA Handbook and other applicable legal requirements necessary to effectively undertake this role.
You will work with the relevant business units to find solutions as well as working with the Compliance Officer to create an environment where compliance with regulatory rules and guidance is regarded as part of the norm and risk mitigators are understood and applied. You will work closely with the investment teams, the sales team, and the wider marketing team to understand the market conditions and priorities, and then distil this into compelling content that initiates commercial outcomes.
Key Accountabilities
1. Reporting to and supporting the Compliance Officer in fulfilling the FCA Senior Management Functions (SMF16 & SMF17).
2. Responsible for conducting compliance monitoring activity as per the company annual Compliance Monitoring plan, including the review and updating of compliance policies.
3. Ensure the business continues to adhere to the Consumer Duty requirements in all activity and undertakes the annual outcomes reviews.
4. Provide assistance with the updating and maintenance of compliance policies.
5. Assist the Compliance Officer with anti-money laundering and financial crime issues with outside parties, e.g., administrators, police, regulatory and industry bodies.
6. Under the supervision of the Compliance Officer, prepare reports including the annual Consumer Duty Board report, for relevant Boards and Committees.
7. Check promotional material produced by the business, providing feedback on any changes required to ensure agreement with FCA rules.
8. Assist in day-to-day management of agreed projects.
9. Attend relevant industry briefings, training, seminars, and conferences as appropriate.
10. Undertake any other duties commensurate with this level of position.
Essential Experience
1. Experience working in compliance and anti-money laundering in the financial services industry, preferably in investment management.
2. Previous experience of running a compliance monitoring plan, or work conducted on thematic reviews.
3. Although not essential, experience in pensions including employer pensions would be beneficial.
We reserve the right to close the vacancy early, should we receive sufficient applications.
Blackfinch is an equal opportunities employer that values diversity and welcomes applications from all suitably qualified persons regardless of their ethnicity, gender, sexual orientation, age, disability, religious practice or any other perceived differences. A copy of our Equal Opportunities Policy is available upon request.
Location: Gloucester / Hybrid
Salary: up to £40K dependent upon experience
Application Deadline: Monday, February 24, 2025
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