Compliance Officer Self Employed Part Time Financial Advice

Cameron James
Central London, London
17 Jul 2017
16 Aug 2017
Contract Type
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.