Great news - A role I am recruit for a skilled Compliance officer linked to reporting to the Head of Compliance within the business. 100% office based 9am to 5pm.
Linked to Compliance Officer :-
- Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.
- Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures
- Work in requirements of the Data protection policy
Main Role Purpose: -
**To Hold the SMF 16 function (Compliance oversite function)
- To provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates
- The focus is primarily on FCA compliance & also encompasses compliance with Data Protection Act & Proceeds of Crime Acts
- Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance
- Assist in the development & maintenance of effective systems and processes within the Organisation
- Must have a minimum of 5 years' experience in a similar role • This role is 100% office based
Skills & Knowledge Requirements:
- Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance
- Ability to manage own workload & work within a team
- Knowledge of business processes, standards, policies & procedures
- Experience within the Financial Services Industry
- Exceptional communication skills all levels
- Excellent organisational skills HR2024
- Knowledge of Microsoft Word Excel, Outlook & Ideally Intelligent Office, Volume, Imago & Pulse dealing system
- Ability to work under pressure at times
- Provide leadership for the team
- knowledge & understanding of Statements of Principle for Approved Persons
PLUS Responsibilities & Limits of Authority: -
- To assist the Heads of other departments in any tasks relating to the development of business
- Other duties which may reasonably be expected & which fall within your capabilities or general area of responsibility
- In accordance with the rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc., in order to be able to oversee & monitor the activities that come under those regulations
Duties in the Role & Responsibility -
• Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme
. • To advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.
- Suggest changes to scope of reviews or focus on areas where new risks are identified.
- Ensure employees receiving training in complaint handling procedures.
- To assist the Compliance Officer in ensuring that the company establishes & maintains at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the business in errors, irregularities or fraud
- Also monitor all aspects of the business to identify actual or potential weaknesses
- Act as Compliance Officer in identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.
- Assist in providing advice & coaching to employees to enable them to deliver process improvements
APPLY IF LINKED TO COMPLIANCE OFFICER IN AN NVESTMENT BUSINESS FINANCIAL COMPLIANCE SKILLS.