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Compliance Officer
4 months ago
- 35 Hour week
- Annual Bonus
- Training Academy
- Collaborative work environment
The Burford Recruitment Company are delighted to be working with a trusted and highly regarded financial planning business in Witney, Oxfordshire, who are looking to appoint a Compliance Officer. This is a critical role within the business and your primary focus will be to ensure the firm adheres to FCA compliance and helps safeguard the firm’s reputation and ensure the integrity of its operations. This is an office-based role working 9am to 5pm Monday to Friday and you will be working collaboratively in a team of 4, reporting to the Head of Compliance.
Responsibilities:
- To undertake tasks relating to the implementation of the objectives set out in the Compliance policies and Compliance Monitoring Programme
- To assist in ensuring that the Company establishes and maintains effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the Business from errors, irregularities or fraud
- Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
- To assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
- To assist in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements.
- To assist in coordinating the handling of client complaints
Skills
- At least 2-3 years in a compliance officer role where some monitoring work has been undertaken
- Experience within the Financial Services Industry with knowledge and understanding of FCA regulation
- Ideally educated to degree level with a relevant industry qualification, such as CISI Investment Operations Certificate (IOC) or equivalent
- Strong regulatory awareness
- Knowledge of business processes, standards, policies and procedures
Benefits:
- Competitive salary and discretionary annual bonus.
- Comprehensive benefits package, including, 25 days holiday, private medical insurance and pension scheme.
- Opportunities for professional development and career advancement.
- A collaborative and supportive work environment.
If you are located within a commutable distance to Witney and you have the skills and experience a role like this requires, please apply today
