Compliance Office Financial F/T or P/T

Great People
Hertfordshire, UK
14 Aug 2019
21 Aug 2019
Contract Type
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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