Compliance Officer

Location
Shrewsbury
Salary
£25000 - £28000 per annum
Posted
10 Feb 2017
Closes
10 Mar 2017
Ref
00064549
Contact
Recruitment Genius Ltd
Function
Finance
Contract Type
Permanent
Hours
Full Time
This is an opportunity to join a well established financial services company based in Shrewsbury with a strong investment and general insurance based practice. They are a Lloyds' coverholder.

This is a fantastic opportunity for an individual who is hard working, professional and wants to become an integral part of a growing company that will provide you with opportunities for career development, training and support. You will report directly to their Compliance & Legal Director and work closely with colleagues across the organisation. They promise you - no two days will ever be the same again!

The role encompasses training, monitoring and compliance administration functions. You will be required to:
- Provide professional Compliance guidance and assistance to all staff in the group
- Assist in the development and delivery of the Compliance Monitoring Programme
- Conduct compliance audits in line with the Compliance Monitoring Programme, preparing detailed reports on findings and making recommendations for remedial action.
- Work proactively with Sales Management to resolve field compliance operational issues and queries
- Deliver compliance training, both on a 1:1 basis and within group sessions
- Monitor quality MI to assess and identify potential trends in relation to conduct or consumer risks
- Review client feedback and deal with complaints raised by clients in accordance with the FCA Complaints

Handling rules.
- Review and approve financial promotions material in accordance with FCA guidelines
- Liaise with the advisers regarding file reviews and addressing any findings arising from them.
- Develop effective training programs on compliance matters and products including appropriate training for new and existing advisers.
- Present compliance issues at their in-house meetings.
- Use of Connect and GABRIEL
- Produce accurate bi-annual RMAR data
- Apply for and secure professional indemnity insurance

Key Requirements-
- QCF Level 4 qualification
- A good technical knowledge across all means of financial planning.
- Good working knowledge on principle based, FCA regulation and handbooks
- Sound working knowledge of AML and DPA legislation and regulation
- Strong organisational skills and attention to detail are essential in the role given the variety of responsibilities

Skills
- Investigative skills and ability to identify root causes
- Ability to prioritise own work load essential
- Training delivery skills
- Attention to detail
- Ability to communicate at all levels, with authority, confidence and credibility
- Good written communication skills

Salary: £25,000- £28,000 + 2.5% Pension Contribution + Loads of Corporate Perks

Next step:
So, if you think this job is the next step in your career, please apply.

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