Compliance Officer

Mulberry Recruitment
10 Mar 2019
24 Mar 2019
Contract Type
Full Time
Compliance Officer

Location : Farnborough

Salary : £35-40,000

My client who are in Financial Services are currently recruiting for a Compliance Officer to join their team. We are looking for candidates who have got strong experience working with Policies, Compliance and Risk.

· Maintain a risk and compliance culture that acts as a forward radar with FCA requirements for principles based regulation and which is firmly established across all areas of the business

· Manage the key risk and compliance relationships with the FCA in order to ensure that my client benefits to the fullest extent from these relationships.

· Ensure that the risk and compliance function is aligned with the strategic priorities of my client and that the control and governance infrastructure supports the achievement of these corporate objectives

· Promote a Treating Customers Fairly (TCF) culture and ensure that the management information used to evidence is embedded across the business is challenged and developed

· To assist the Compliance Manager in forming and implementing compliance policy, ensuring the provision of effective and appropriate compliance policies, interpretation and approvals.

· To audit and monitor front and back-office operational and selling practices in order to provide assurance to the Executive and senior management required procedures and processes are being followed and that the required standards of business practice are being met, utilising Industry best practice risk-based methodologies to ensure optimal resource allocation and focus on high-return activities.

· To provide support to the Head of T&C in providing second line supervision as appropriate.

· To help maximise risk mitigation across my client by providing proactive identification of regulatory requirements, implementing industry best practice and supporting the ‘Approved Persons’ in ensuring the optimisation of compliant profitable sales

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