Compliance Officer

Compliance Manager

Ref: 1607Monday 20 June 2022

£Competitive

 

 

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, 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