* Annual Bonus
* 35 Hour week, office based
* 25 Days Holiday
* Collaborative work environment
A highly regarded independent Investment firm is seeking an experienced Compliance Officer to oversee their Compliance team who are based at their West Oxfordshire office.
This is a significant role within the business and requires an accomplished individual with their CISI Level 6 Diploma in Financial Compliance (or equivalent) and who holds the SMF 16 function.
Key Job Responsibilities:
* To provide an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates.
* The focus is primarily on FCA compliance but also encompasses compliance with the Data Protection Act and Proceeds of Crime Act.
* To ensure that the business and its Appointed Representatives comply with all regulations, which apply to its permitted activities, by way of undertaking monitoring reviews to demonstrate compliance.
* To assist in the development and maintenance of effective systems and processes within the Organisation.
Skills and Knowledge Requirements:
* Relevant qualification such as CISI Level 6 Diploma in Financial Compliance.
* To hold the SMF 16 function (Compliance oversight function).
* Ability to manage and oversee a small compliance team.
* Experience within the investment/financial planning industry is essential.
You will be located within a commutable distance to Witney, Oxfordshire, OX28 as this is a full-time office-based role.
If you have the skills and experience a role like this requires, please apply today!
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