09 Jan Compliance Officer
Our client is a leading financial services provider, based on the outskirts of Southampton
Due to expansion they are looking to recruit a Compliance Officer to join their newly established Compliance team.
To support the Compliance function in Compliance oversight with specific relevance to maintaining accurate and up to date documentation/spreadsheets to evidence the firm’s regulatory controls; assessing documents for trends and conducting analysis to continually improve current systems and controls.
Measures of Performance:
- Compliance documents are kept accurately and timely including spreadsheets and registers
- Trends are recognised and reported
- Consistent and continuous diligence to the Conduct Rules to ensure annual certification is maintained.
- Maintain relevant and up to date Continuous Professional Development and take external examinations if appropriate
- Actively and positively contribute to the Compliance team.
- Develop and maintain a good understanding of regulatory requirements and techniques and their application to file and documentation standard
- Maintain an accurate Breach Register with timely inputs and remediation, providing monthly reporting to the Head of Compliance.
- Identify themes and trends arising from monitoring activities timely and take a balanced, detailed, and timely approach when reporting issues to the Head of Compliance
- Monitor PEP’S and raise issues timely.
- Demonstrate a detailed and accurate level of attention in all compliance matters.
- Act as support to the DPO to meet GDPRtimescales
- Consistently meet Suitability Letter standards within prescribed timescales, demonstrating a high standard of written/communication skills with positive feedback to/from advisers to support improvements
- Handling Complaints diligently and provide an outcome at the earliest opportunity, and within DISP handbook rules.
- General administration and planning of the firms Training and Competence framework including new recruits, referencing and monthly 121 data
- To undertake other relevant tasks as required by the Head of Compliance.
Key Knowledge, Skills, Experience required:
- Minimum of 2 years experience within a regulated or financial services environment.
- Achieved or willing to work towards relevant industry qualifications – CF1 & R06 (or equivalent)
- Knowledge of the regulatory environment in the UK, and in particular FCA regulation.
- Good IT skills in a range of relevant applications (Word, PowerPoint, Excel, Outlook).
- Good organisational skills and attention to detail.
- Previous file review experience.
- Relevant professional qualifications.
- Working knowledge of Business operations and practices.
- Strong organisational skills with an ability to work to challenging deadlines.
- Ability to work without supervision.
- Ability to work collaboratively within a team.
- High standard of attention to detail and record keeping.
- Effective communicator with good written and oral communication skills.
- Adopts a proactive approach and seeks out solutions.
- Flexible and supportive approach to working practices.
Please note we regret that due to the high volume of CVs received we cannot give individual feedback to candidates. If you are not contacted within 5 working days of submitting your CV please assume your application has been unsuccessful on this occasion.
Honeypot People Ltd, is a UK-based agency providing specialist solutions within the Sales and Marketing Sector.
We operate an equal opportunities policy of treating all employees and job applicants equally regardless of race, colour, ethnic origin, nationality, national origin, religion or belief, gender, sexual orientation, gender reassignment, age, marital or civil partnership status or disability.
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