Compliance Officer

Location: mainly remote with circa. 1 day a week in Head Office (Dorset / Hampshire borders) so you must be able to commute to that location.

Salary: Circa. £35 - £40k

Duration of Contract: circa. 14 months

Our client is an award winning and highly customer focussed financial services provider. Owing to strong growth and a large data migration project, they are recruiting for a Compliance Officer on a fixed term contract (approximately 14 months), reporting into the Compliance Manager. Whilst our client is based in Dorset / Hampshire area, this role can be undertaken on a hybrid basis with some travel to the office for key meetings - one day per week after the induction period.

Key responsibilities:

• Assist in the development and completion of the annual compliance plan based on an analysis of the key areas of the business and key compliance risks
• Carry out the reviews identified in the annual compliance plan
• Considering and making recommendations on the root cause of any issues found
• Undertake 2nd line monitoring to provide assurance of 1st line activities including but not limited to Training and Competence, Quality Assurance and other operational business activities.
• Ensure that all DSARs are handled in a timely, accurate manner ensuring the regulatory timeframes for responses are met whilst ensuring compliance with relevant legislation.
• To check financial promotions, marketing and non-marketing literature to ensure compliance with regulatory requirements and provide appropriate feedback and advice.
• Assist (and, where appropriate, provide cover for) the Head of Compliance in support of their duties

To be the successful candidate you will have:

• Strong knowledge of FCA regulations and industry best practice including BCOBS, MCOB, Complaints, Financial Promotions, Financial Crime including AML/CTF and Fraud and Data Protection Regulations
• General knowledge of the financial services industry and its operational activities
• Knowledge and experience of conducting compliance monitoring with particular attention to root cause analysis
• Previous experience in a similar role