Compliance Manager

Hills Consultants Ltd
12 Mar 2019
31 Mar 2019
Contract Type
Full Time
Compliance Officer

Based in Maidstone

£20,000 to £25,000

Our client who are a Commercial Lloyds Broker are looking to recruit a Compliance Officer to join their growing business.

The purpose of the role of Compliance Officer is to undertake administrative tasks assisting the Compliance manager with implementation and monitoring of FCA standards.

There is the flexibility for this to be a full time or part time role – minimum of 20 hours.

Job role:

* Assist with the provision of consistent and reliable Compliance advice to the business on a broad range of regulatory matters and to explain the impact of any changes.

* Assist with the identification and assessment of the compliance risks applicable to the business. Support and maintain the risk registers for the business. Be the first point of contact for sanctions queries arising.

* Producing sanction checks reports

* Ensure that all complaints are dealt with appropriately.

* Assist with queries relating to GDPR.

* Assist as directed in dealing with licensing and regulatory issues, including liaison with the internal and external parties where necessary.

* Check that all applicable compliance policies and local regulations are covered in compliance induction training.

* Ensure that any matters which arise from internal or external reviews or monitoring visits are followed up and the actions tracked and resolved appropriately.

* Provide support and guidance to the business in understanding its responsibilities and obligations under relevant policies (e.g. Anti-Bribery & Corruption, Conflicts of interest, Financial Crime, Gifts (Conflicts of Interest), Complaints, etc. respond to queries on the interpretation of relevant compliance policies.

Skills needed:

* Experience within a compliance advisory, testing or other risk role ideally within financial services

* Excellent communication skills

* Strong analytical skills

If this is a position that you would like to discuss in more detail please contact Charlene at Hills Consultants

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