Role: Compliance Offer
Hours: 20 hours a week
Location: Ferndown Dorset wit Hybrid option
About Our Client
An independent financial advisers, they are committed to providing comprehensive advice on a wide range of financial products. Their objective is to ensure that their clients receive the best possible advice and products, tailored specifically to their financial goals and circumstances.
The role – Compliance Officer
General Role Responsibilities
- Day-to-Day Compliance Function: Oversee the daily operations related to compliance within the company.
- Regulatory Interpretation: Interpret and communicate the latest relevant regulatory, legislative, and industry standard changes.
- Policy Creation and Update: Develop and update company compliance policies and procedures.
- Staff Training: Conduct training to ensure the company's internal structure adheres to the FCA's guidelines.
- File Checking: Ensure a consistently high level of service is provided to clients through regular file checks.
- Control Systems Development: Develop and oversee control systems to maintain adherence to regulations and internal policies.
- Control Efficiency Evaluation: Continuously evaluate and improve the efficiency of controls.
- Procedure Revision: Revise procedures and reports as necessary.
- Adviser Meetings: Conduct one-on-one meetings with advisers.
- KPI Monitoring: Monitor individual key performance indicators.
- External Compliance Audits: Manage external compliance audits.
- Reporting: Report to the compliance director.
- Suitability Reports: maintaining suitability report templates to reflect changing legislative, regulatory and taxation landscape
What They Are Looking For
- Qualification: Minimum Level 4 Diploma in Financial Planning.
Experience and Qualifications
- Proven Experience: Demonstrable experience in a compliance role within the financial services sector.
- Knowledge of FCA Standards: In-depth understanding of FCA standards and regulations.
- Reporting and Record Keeping: Excellent knowledge of reporting procedures and record-keeping practices.
- Communication Skills: Outstanding communication and interpersonal skills.
- Pressure Management: Ability to work under pressure and meet deadlines.
- Orientation: Solution and service-oriented mindset.
- Technology Proficiency: Technology-savvy with a willingness to embrace new systems and software.
- Analytical Skills: Strong analytical and decision-making skills.
- Influencing Skills: Strong influencing abilities.
- Professionalism: Discreet and professional in all communications.
- Emotional Intelligence: High level of emotional intelligence.
- Listening Skills: Effective listener.
- Constructive Challenge: Willingness to challenge in a constructive and non-confrontational manner.
- Organisation and Prioritisation: Organised multi-tasker with effective prioritisation skills.
- Adaptability: Adaptable and flexible approach.
- Self-Motivation: Self-motivated, able to work independently and as part of a team.
- Team Player: Ability to integrate seamlessly into a highly successful company.