Compliance Officer, Stockport 70,000-80,000
Type: Permanent
Reports to: Executive Committee
My client is a hugely well respected and successful Financial Services Partner who is looking for a skilled and qualified Compliance Officer to assist them in their current and ongoing period of growth.
Job Summary:
• To ensure the partnership follows the legal and regulatory requirements which pertain to its business.
• To remain well informed and up to date with current developments.
• To understand how any changes in regulatory requirements may affect the operations and business of the partnership.
• To determine what action must be taken to ensure that the company remains in compliance within these rules and regulations (COBS).
• To act as an independent review and evaluation body to ensure that compliance issues/ concerns within the company are being appropriately evaluated, investigated and resolved.
• Identify potential areas of compliance vulnerability and risk; and bring these to the attention of the Executive committee and the partners accordingly.
• Develop and implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.
The role involves up to date knowledge and guidance on regulatory risk, changes to rules and current practices and providing guidance to the Executive Committee, partners and staff accordingly.
Duties:
* Identify regulatory risk in accordance with FCA guidelines and provide guidance.
* Manage the firm’s consumer duty policies on an ongoing basis.
* Undertake production and filing of FCA periodic returns.
* Advise on money laundering issues (MRLO).
* Undertake file review monitoring.
* To ensure client documentation is kept up to date and appropriate.
* Identify and develop robust risk controls.
* Maintain the compliance manual, policies and procedures as necessary.
* Ensure all partners and staff adhere to compliance procedures and policies.
* Provide ad-hoc advice to partners and staff as required.
* Ensure marketing and client literature are in line with any regulations and restrictions.
* Deliver appropriate training to all partners and staff where needed.
Qualifications & Skills:
• SMF 16 & 17.
• Professionally qualified – Certified Regulatory Compliance Manager (qualifications – CISI diploma).
• Previous experience in compliance monitoring and complaint handling.
• Microsoft Office software skills.
• Accurate and professional written style.
• Excellent communication skills.
• Extensive knowledge of the FCA Handbook.
Proposed Package:
• Discretionary bonus.
• Private healthcare.
• Death in service.
(the above three are dependent upon successful completion of a six month probationary period).
This is a fantastic opportunity for a Senior Compliance Specialist to join a hugely successful business with opportunities for higher level roles in the future.
To apply, please submit your CV by clicking on the relevant links. If successful, you will be contacted by one of our consultants within 3 working days and should be prepared to discuss your relevant skills and experience. Unfortunately, due to the volume of applications we expect to receive, if you do not hear from us within this time you should presume your application has been unsuccessful on this occasion.
Grassroots Recruitment is acting as a recruitment agency and a recruitment business in respect of this vacancy. Grassroots Recruitment is an equal opportunities employer and recruiter. We welcome applications from all sections of the community, regardless of age, race, sex, sexual orientation, marital status, religion or disability.
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