Eton, Berkshire/ Paddington, London
£40,000 -£50,000 per annum + benefits
- Keeping up-to-date with regulatory developments across the business. And undertaking regular reviews of the business compliance policies and procedures to ensure they are up to date with relevant legal and regulatory obligations.
- Advise senior management in a timely manner of FCA/NFA/OSC related and other regulatory issues/Any changes to the rules.
- Ensure the firm continues to meet its threshold conditions at all times.
- Produce a quarterly compliance report for senior management.
- Maintain company record keeping, training logs, and internal compliance logs and documentation.
- Responsibility for GDPR processes and procedures
- Manage the firm's relationship with the FCA/NFA/OSC.
- Ensure that the firm can respond in a timely basis to requests for information from the regulators.
- Make all appropriate notifications (relevant notifiable changes).
- Comply at all times with the firm's Compliance and Training & Competence procedures.
- Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles, Code of Practice for approved persons and rules
- Compliance Monitoring
- Systems and Controls
- Complaints Handling
- Financial Promotion
- Recruitment including background checks and fit and proper
- Training & Competence
- Approved Persons, Associated Persons and Principal applications and updates
- Annual NFA questionnaires
- Investigate errors and deficiencies across the business
- You should be an experienced Compliance Manager within financial firms
- You should have strong knowledge of current regulations and legislation and have high attention to detail
- Strong knowledge of ICO, the Data Protection Act and its associated legislation;
- Ideally, you should be Level 4 Diploma qualified, but not essential
- 4-5 Years' industry experience