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Compliance Officer

Dovetail Recruitment Ltd
Closing date
7 Jul 2022

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Contract Type
Full Time
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Compliance Officer Job in Wimborne - 14 Month Contract

Dovetail Recruitment are pleased to be working with a prestigious organisation within the finance sector, who are currently recruiting for a Compliance Officer. They have been recently recognised as being one of the best places to work in Dorset, due to their inclusive company culture and excellent benefits.

We are currently looking for a Compliance Officer with a good understanding of FCA regulations, who will be able to bring their expertise to this role. The successful candidate will be responsible for development and completion of the annual compliance plan.

Duties and Responsibilities:

* Carry out the reviews identified in the annual compliance plan

* Undertake 2nd line monitoring 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

* Check financial promotions, marketing, and non-marketing literature and provide appropriate feedback and advice

* Assist the Head of Compliance by monitoring and advising on:

* the establishment, implementation, and maintenance of appropriate policies, procedures, and effective processes

* provide regular training and presentations on all aspects of compliance requirements

* the establishment and maintenance of effective systems and controls to comply with requirements and standards for countering risks

* monitor regulatory developments and changes, analyse the impact on the business and advise senior management and relevant operational areas on any changes required in response

* identify and assess compliance risks in relation to current and planned business activities

* monitor and report compliance breaches or flaws to senior management including to the Board

Knowledge and Experience:

* Experience in a compliance role within the financial services industry

* Excellent attention to detail

* methodical and logical approach to work

* Able to collaborate across multiple functions within the business

Salary and Benefits:

* Circa £35,000 per annum - (negotiable)

* Hybrid working available

* 27 days holiday (+ 8 Bank Holidays)

* Monday - Friday hours of 9.00 am - 5.00 pm

* Annual Car Parking permit

* Discounts for many local businesses

* Employee assistance programme + 24/7 counselling and support helpline

* 24/7 Virtual GP surgery and private prescription service

* Access to PERKS scheme

* Discounts on local private gyms

* An active Social Committee who arrange lots of fun complimentary employee events throughout the year!

This Compliance Officer job in Wimborne would suit candidates from a compliance background who have worked within financial services.

If you are interested in this Compliance Officer position please click 'Apply Now';

alternatively, please visit our website for more information
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