Compliance Office Financial F/T or P/T

Recruiter
Great People
Location
Hertfordshire, UK
Salary
Competitive
Posted
14 Aug 2019
Closes
21 Aug 2019
Ref
1216044892
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Due to expansion my client is looking for a full or part time Compliance Officer to joining their growing team!

Compliance Officer - Main Duties and Responsibilities:

Would consider full and part time

* Assisting in the Investigating and responding to any complaints.

* Auditing and compliance management.

* Collating all management information, maintaining internal reports.

* FCA monitoring, compliance monitoring and compliance policy writing and updates where required

* Provide ad-hoc compliance guidance and support to relevant business areas.

* Liaising with T&D team to ensure bespoke plans are built dependent on individual advisor needs

* Ensuring advisors are providing the correct level of advice, dependent on the clients needs

* Assisting in the maintenance and management of the upcoming SMCR regime

* Assist with annual risk and compliance monitoring plans.

* Assist with verification of identity and introducer due diligence.

* This role involves liaising frequently with other internal departments and customers so the successful candidate will have good written and verbal communication skills and interpersonal skills.

* Maintaining essential documents as required by FCA standards.

The Person - Skills, Knowledge, Qualifications and Experience:

* Experience in lending, investments, banking or similar.

* Knowledge and experience of working with COBS framework.

* Strong communication skills with high attention to detail.

* Excellent time management.

* Good written and verbal communication skills and interpersonal skills.

For more information please contact Charmaine Mundy

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