Compliance Officer Self Employed Part Time Financial Advice

Recruiter
Cameron James
Location
Central London, London
Salary
60000.0000
Posted
17 Jul 2017
Closes
16 Aug 2017
Contract Type
Permanent
Hours
Part Time

Our Clients are a well established, medium to large firm of Legal Practitioners specialising in Inheritance Tax planning. They require a self employed Compliance Officer for one to two days per week to assist the Managing Director. London WC2 Salary £65,000 pro rata

Maintain awareness and understanding of UK regulations, including the FCA Handbook, AML, CTF, Sanctions, TCF and their implications upon business activities

    • Draft new or amend existing Compliance Policies and Procedures as required in order to meet the requirements of new/updated regulations / legislation, obtaining relevant approvals, implement and rollout
    • Provide Compliance input to business wide policies
    • Respond to requests for advice from business units, support departments regarding compliance related matters
    • Provide Compliance input to training materials as required
    • Carry out Compliance Monitoring
    • Produce reports on Compliance Monitoring undertaken
    • Support the Compliance Administrator as required
    • Provide input to due diligence process as required
    • Support regulatory audits and audit visits
    • Support in relation to responses to regulatory bodies requests for data and regulatory annual return
    • Co-ordinate responses to regulatory requests for data and information
    • Drive actions to embed a regulatory culture within the business
    • Consider TCF in all aspects of strategic planning
    • Establishing and maintaining appropriate internal control safeguards
    • Monitoring KPI’s and CPD of advisers.
    • Assistance with adviser recruitment.