Our client, a financial services provider, have an exciting opportunity for a Compliance Officer to join their team. The main purpose of the role is to support the Head of Compliance in ensuring that the business operates in accordance with its regulatory obligations and in a way that puts the customer at the centre of its operations.
Main duties of Compliance Officer:
- Support the Head of Compliance/Compliance Manager in their discharge of responsibilities, as and when required, and as part of the delivery of the wider Compliance Framework.
- Undertake assurance and monitoring reviews as required to successfully deliver the annual Compliance Monitoring Plan.
- Support the Head of Compliance/Compliance Manager in the reporting and presenting of the findings of the Compliance Monitoring Plan to management, Executives, and relevant committees.
- Act as key contact for complaints referred to the Financial Ombudsman Service, ensuring that files are prepared to the required standards and within the timelines stated.
- Provide “appropriate person” sign off for business literature and customer communications in accordance with the FCA’s Conduct of Business rules and guidance to support business requirements.
- Maintain up to date knowledge of relevant regulatory initiatives, rules, guidance, insight, and current thinking and communicate this to Executives through weekly Horizon Scanning communications.
- Assist the Head of Compliance/Compliance Manager in the appropriate conduct risk assessment for change initiatives and product development initiatives as required.
- Develop and maintain a close working relationship with business areas within the group to encourage a culture of risk awareness, facilitating the sharing of best practice across the business.
The successful candidate for the Compliance Officer will possess:
- Working knowledge of relevant regulations to include: MCOB, DISP, BCOBS, & SYSC
- FCA reporting requirements and systems
- Microsoft office – Word, Excel & PowerPoint
- Excellent communication skills both written and verbal
- Ability to work to defined deadlines whilst maintaining quality
- Ability to meet multiple objectives in fast paced environment
Our client is offering this role as remote working, with very occasional travel to their head office based in Essex for meetings/training.