Compliance Officer

Harwood Wealth
Hampshire, UK
Closing date
16 Oct 2020

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Contract Type
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We are seeking a QCFL4 qualified Compliance Officer with experience of compliance management, monitoring and reporting. You will be accountable for the effective management of compliance records, policies, procedures and controls to meet regulatory and business requirements. This is an exciting new role reporting to the Compliance Manager.

You will have gained your experience within a financial services compliance environment, ideally within Wealth Management and have a good understanding and knowledge of relevant FCA rules and guidance. You will be able to work independently and collaboratively as part of a team and take accountability in ensuring the firm's compliance requirements are met.

A strong communicator with good attention to detail and a passion for researching and promoting effective solutions to changing legislation.

This role will be Southern based from one of our Group offices.

If you like the sound of this role then check out the full Job Spec below:-

The Harwood Group

We understand the importance of sound corporate governance and aim to maintain an efficient and effective management framework that enables sustainable growth and ongoing investment in our people and processes. Within the group we provide a broad range of wealth management and financial planning services, tailored in-house model portfolios and discretionary investment management services. We are independent and seek always to provide the most appropriate solutions for our clients. Above all we believe that supporting our advisers to deliver positive client outcomes is central to our function.

Job Purpose

This position is responsible to the Compliance Manager (SMF 16/17) and will be responsible for providing and coordinating the information required to meet the firms reporting responsibilities and providing broad compliance monitoring and management. With strong communication skills, the ability to work collaboratively and flexibly and the willingness to take personal responsibility, the successful candidate's role is to support the Compliance Manager in delivering the firm's compliance requirements.

Relevant skills, knowledge and experience

* Broad base of compliance knowledge and technical knowledge (ideally QCFL4 or working towards)

* An understanding and knowledge of relevant FCA rules and guidance including; code of conduct, Fit & Proper, Supervision, Dispute resolution and COBS.

* An understanding of other relevant legislation, including that related to financial crime and Systems and Controls Sourcebook.

* Experience of working within a financial services compliance environment, the ability to interpret FCA regulation and guidance accurately and to do so proportionate to the needs of the firm.

* Have good attention to detail, the ability to work independently as well as part of a team and an interest in researching requirements and promoting effective solutions in line with legislative requirements.

* Ideally you will have held a compliance role previously and experience of working with financial advisers within Wealth Management would be preferable.

* A good working knowledge of word and excel.


Working within the compliance team specific responsibilities may include:

* Ensuring that all appropriate records, policies and procedures are accurate, appropriate and monitored in relation to:

* Advice and sales practices

* Data Security

* Recruitment

* Compliance monitoring program

* Anti-money laundering and ABC

* Recruitment


* Conduct and deliver appropriate procedures and controls in relation to:

* Complaints

* Breaches

* Financial promotions


This role description forms part of the contract of employment
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