Recruiting a COMPLIANCE MONITORING ANALYST ROLE WITHIN A INVESTMENT AND PENSIONS BUSINESS in Oxfordshire. The role will require a candidate who will report to the Head of Compliance and CAML Compliance Officer. 100% office based 9am to 5pm & permanent role. The candidate must be skilled in FCA Compliance with Financial Services Investment & Pensions.
Role Purpose:-
- Assist Head of Compliance and CAML Compliance Officer in providing an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the Business operates
- Focus primarily on FCA compliance but also encompasses compliance with other regulation such the Data Protection Act & Proceeds of Crime Act
- Assist Head of Compliance safeguarding company permitted activities, by way of undertaking monitoring reviews to demonstrate compliance
Role & Responsibilities:-
• Do tasks relating to the implementation of the objectives set out in the Compliance policies & Compliance Monitoring Programme
• Assist Head of Compliance and CAML Compliance Officer in ensuring that the Company establishes and 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 from errors, irregularities or fraud
• Assist monitoring aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
• Assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
• Assist the Head of Compliance and CAML Compliance Officer in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements
• Assist providing advice and coaching to employees to enable them to deliver process improvements, which are fully compliant with relevant regulatory requirements
• Assist coordinating the handling of client complaints
• Assist the creation, implementation and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
Client Service expectation:
• Ensure firm's high standards of client care are met
• Ensure confidentiality of work undertaken to clients, & work within principles of the Data Protection Act & Company's Data Protection Policy
• Comply with the FCA's Treating Customers Fairly requirements, & other requirements set out in the company manual & processes
• Understand the new Consumer Duty Regulations & assist in monitoring of Courtiers' obligations & adherence to these.
• Co-operate fully with Company's Anti Money Laundering requirements
• Maintain records in accordance with the Company compliance requirements as set out in its compliance manuals & procedures
Skills & Knowledge Requirements:
• Good understanding of FCA handbook
• Willingness to undertake study
• Knowledge of business processes, standards, policies & procedures
• Experience within Financial Services Industry
• Exceptional communication skills
• Excellent organising skills
• Knowledge of Microsoft Word, Excel, Outlook & Ideally Inteloflow
• Ability to work under pressure
• Work efficiently as part of a team
• Ability to manage own workload & work within a small team
A great opportunity, if you are based in the Oxfordshire area with the COMPLIANCE SKILLS WITH 100% OFFICE BASED and FINANCIAL SERVICES SKILLSET.