Compliance Officer

New Leaf Search Ltd
London (Greater)
09 Jan 2018
15 Feb 2018
Contract Type
Full Time
Job Title: J2203 - Compliance Officer - UK, Gtr London / SE Eng - Asset Finance Salary: To £30,000 plus excellent bonus and benefits Location: UK, Gtr London / SE Eng Bonuses: Excellent Benefits: Excellent Job Function: Finance & Legal Vacancy Type: Permanent Asset Type / Sector: All Assets / Sector Job Description : J2203 - Our client is seeking a Compliance Officer - UK, Gtr London / SE Eng to help ensure the company complies with all applicable regulation, industry standards and best practice, code of conduct, local and applicable group policies and procedures. The key responsibility is to support the Head of Compliance. KEY ACCOUNTABILITIES: Attend departmental team meetings discussing & raising awareness of compliance topics including TCF & Fraud awareness. Deliver compliance inductions to all new joiners. Liaise with HR on the allocation of on-line compliance training. Update & write internal compliance policies & procedures and take full responsibility for these areas as allocated by the Head of Compliance. Carry out quarterly permanent supervision controls/checks. Administer the online system GPS for quarterly supervision checks. Help meet the FCA’s principle of TCF monitor customer feedback through returned customer surveys. Investigate any negative feedback and collate quarterly reports for the board. Lead training sessions for the direct sales team ensuring consistent high quality telephony interactions & adherence with our telephone script when dealing with regulated customers. Administer the introducer spreadsheet ensuring all introducers are correctly authorised by the FCA. Send out policy guidance to applicable introducers where appropriate. Answer queries from sales re regulated and exempt business. Raising the agenda for the fortnightly compliance forum and minute taking of the meeting. Send reminders out and follow up chases to managers & directors for the completion of permanent supervision, Operation Risk, dysfunctions, quarterly gifts & events declarations and departmental procedures. Send reminders out to the sales teams to coordinate customer audits. PERSON SPECIFICATION: Excellent verbal and written communication skills. Excellent interpersonal skills. Methodical and has attention to detail. Good time management and organisational skills. Focused on providing excellent service to internal customers. Ability to work under pressure and use own initiative. Ability to identify and put forward new ideas for improvements. A strong team player. Pro-active and willing to be flexible in work required. Conscientious and open to suggestions/ideas. Willingness to learn. Act with integrity at all times and embrace the philosophy of treating customers fairly. Embrace the values of the group leadership model. We strongly favour applicants with proven relevant experience in Financial Services; particularly in Asset Finance and Leasing.