Compliance Officer (Financial Services)

Square Peg Associates
13 Apr 2018
13 May 2018
Contract Type
Full Time
Our client is a well established and continuously growing Financial Services business who are looking for a Compliance Officer reporting into the Head of Compliance. This is a niche and exciting role that requires strong commercial and business acumen with strong interpersonal skills.

A fantastic salary and rewards package will be offered.
You will take responsibility for providing compliance and risk advice across the business and manage FCA related processes, procedures and controls.
The role will include:-
  • Continual development and implementation of systems and controls to ensure that advice is within the example guidance
  • Responsibility for delivering accurate, sound and timely compliance advice to all aspects of the business. This may involve conducting research
  • Carry out internal audits to ensure statutory compliance is in line with industry, health and safety, legislative regulations and contractual obligations
  • The present updates and findings in meetings and / or internal events
  • Review of client feedback and dealing with complaints raised by clients in accordance with the FCA Complaints Handling rules
  • Review and approval of financial promotions material in accordance with FCA guidelines
  • Liaison with the advisers regarding file reviews and addressing any findings arising from them
  • Provide general and case specific compliance support to advisers
  • Review data security policy

Person fit:-
  • A highly astute and commercially minded person with good working knowledge of UK compliance and regulation, in accordance to the FCA rules and EU handbooks
  • You must have a relevant experience and/or qualification for the role
  • Strong interpersonal and communication skills are essential
  • Proven leadership and staff development skills

Keywords: Asset Management, Banking, Capital Markets, Consumer Credit, Financial Crime, Insurance, Mortgages, Payment Services, Wealth management
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