We are looking for an experienced Compliance Officer for our client! Previous experience within the Financial Services industry is essential, and preference would be that you are diploma qualified (level 4). The successful candidate will be working directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company's own in-house policies. Your expertise in effective risk management and regulatory knowledge will play a crucial role in maintaining the company's integrity and reputation.
Responsibilities:
- Management of the company's T&C scheme, notably adviser supervision, adviser certification, adviser development and file checking, ensuring efficient and high-quality delivery of required T&C outcomes, making suggestions for improvement as required.
- Develop our T&C framework to provide oversight of new advisers, providing a clear path to competence that is in line with FCA T&C requirements, in a scalable way that can support our growth ambitions.
- Manage a team of supervisors to ensure delivery of required T&C outcomes.
- Arrange external T&C audits as necessary.
- Oversight and ownership of the internal and outsourced file review process, acting as a referral point for complex and/or sensitive issues.
- Build positive relationships with our advisers and their support staff, balancing commercial needs with regulatory responsibility.
- Developing and overseeing control systems to maintain regulations and internal policies
- Evaluating the efficiency of controls and improving them continuously
- Revising procedures, reports, etc
- File checking
- Assessing the company's future ventures to identify possible compliance risks
Experience and Qualifications:
- Proven experience in a compliance role within the financial services sector
- In-depth knowledge of the FCA standards and regulations
- Excellent knowledge of reporting procedures and record keeping
- Outstanding communication and interpersonal skills
- Ability to work under pressure and meet deadlines.
- Solution and service orientated.
- Technology savvy and willing to embrace new systems and software.
- Good analytical and decision-making skills.
- Strong influencing skills.
- Discrete and professional in all communication.
- Strong emotional intelligence.
- Effective listener.
- Willingness to challenge in a constructive and non-confrontational manner.
- Organised multi-tasker and effective prioritisation.
- Adaptable and flexible.
- Self-motivated and willing to work at times in isolation and as part of a wider team.
If you are interested in applying for this position, then please forward a copy of your CV to Sam at Artemis Recruitment.