Compliance Officer

3 days ago


NewarkonTrent, United Kingdom Fiducia Group Full time

Compliance Officer

Salary - Competitive

Full Time, Permanent.

Newark, NG24 1BS

  • Have you experience of working within the financial industry or Compliance before?
  • Are you a logical thinker and able to work well under pressure?
  • Are you organised and have good attention to detail?

If this is you, then we have an exciting opportunity to join an established, respected, and growing company, Fiducia Commercial Network (which is a trading style of The Fiducia Network Ltd).

Fiducia Commercial Network is also part of the Fiducia Group Limited family which is an established financial services group with over 20 years’ experience, and we are looking for a Compliance Administrator to join our expanding Compliance team within an ever-growing industry.

What will you be doing?

As a Compliance Officer, you will support the Compliance team in their role as responsible for the compliance and regulatory requirements. Supporting the Head of Compliance you should ideally have a certificate, or above which is a recognised qualifications through the ICA.  

The key responsibilities are:

  • Monitor the firm’s appointed representatives ensuring all relevant regulatory requirements are met through client file checking.
  • Ensure the firm’s prospective appointed representatives are effectively and efficiently on-boarded as appointed representatives, including references, statements of honesty and integrity, KYC, and all other relevant documentation to verify the directors of the firm and their employees.
  • Complete tasks within the compliance monitoring plan.
  • Deal with compliance queries raised by the appointed representatives in a timely manner.
  • Maintain the firm’s compliance with Consumer Duty and report any concerns to the Head of Compliance. Feeds data and narrative to the Head of Compliance and ensures these are of high quality and accurate.
  • Ensure the fitness and propriety of all Registered Individuals and Approved Persons on an annual basis.
  • Notify the FCA of any approved persons performing a new controlled function, ceasing to perform a controlled function or any changes to their personal details.
  • Comply at all times with the Compliance Training & Competence Scheme of the firm.
  • Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles Code of Practice.
  • Ensure adequate and appropriate PII cover is in place.
  • Manage and respond to all matters relating to the compliance inbox.

You will use your fantastic verbal and written communication skills to build rapport using your exceptional attention to detail you also need to be able to see a job through to completion whilst juggling a workload.

You will work within a team environment and take responsibility for achieving company goals in your role.

What skills do you need to have?

Other qualities we’re looking for:

  • Excellent verbal & written communication skills.
  • A structured and independent way of thinking.
  • Exceptional attention to detail and able to see a job through to completion.
  • Able to work well under pressure.
  • Experience of working with internal and external stakeholders.
  • Computer literacy especially using Microsoft Excel.
  • Excellent time management skills.

INDLS 


  • Compliance Officer

    4 weeks ago


    Newark-on-Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis. In return you will receive a competitive day rate, 3 month contract, temporary to permanent opportunity, hybrid working, flexible working hours, the opportunity to have your contract extended, mileage coverage. As the Compliance...

  • Compliance Officer

    4 weeks ago


    Newark on Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis. In return you will receive a competitive day rate, 3 month contract, temporary to permanent opportunity, hybrid working, flexible working hours, the opportunity to have your contract extended, mileage coverage. As the Compliance...

  • Compliance Officer

    4 weeks ago


    Newark on Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis. In return you will receive a competitive day rate, 3 month contract, temporary to permanent opportunity, hybrid working, flexible working hours, the opportunity to have your contract extended, mileage coverage. As the Compliance...

  • Compliance Officer

    2 months ago


    Newark-on-Trent, United Kingdom Fosse Healthcare Full time

    Are you passionate about quality of care? Are you looking to take the next step in your career in care? We are looking to recruit a Compliance Officer to join our homecare team in Newark What is a Compliance Officer? Based out in the community, our Compliance officers are responsible for both Client & Staff Compliance. You will be visiting service users,...

  • Compliance Officer

    5 days ago


    Newark on Trent, United Kingdom Fiducia Group Full time

    Compliance Officer Salary - Competitive Full Time, Permanent. Newark, NG24 1BS Have you experience of working within the financial industry or Compliance before? Are you a logical thinker and able to work well under pressure? Are you organised and have good attention to detail? If this is you, then we have an exciting opportunity to join an established,...

  • Compliance Officer

    5 days ago


    Newark on Trent, United Kingdom Fiducia Group Full time

    Compliance OfficerSalary - CompetitiveFull Time, Permanent.Newark, NG24 1BSHave you experience of working within the financial industry or Compliance before?Are you a logical thinker and able to work well under pressure?Are you organised and have good attention to detail?If this is you, then we have an exciting opportunity to join an established, respected,...

  • Compliance Officer

    5 days ago


    Newark-on-Trent, United Kingdom Equals One Full time

     Compliance OfficerSalary - CompetitiveFull Time, Permanent.Newark, NG24 1BSHave you experience of working within the financial industry or Compliance before?Are you a logical thinker and able to work well under pressure?Are you organised and have good attention to detail?If this is you, then we have an exciting opportunity to join an established,...


  • Newark-on-Trent, United Kingdom RecruitMe Full time

    Building Compliance Surveyor - Fire and Asbestos SafetyRecruitME are working exclusively with a people centric organisation that supports and maintains a variety of services in the Newark area who are recruiting for a Building Compliance Surveyor Fire and Asbestos.The main purpose of the role is to ensure that they fulfil its statutory compliance duties in...

  • Compliance Manager

    2 months ago


    Newark-on-Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for an Interim Compliance Manager to join a local authority in the Nottinghamshire area. This role has the opportunity for extension or to become a permanent position. In return you will receive a 3 month contract, competitive day rate, hybrid working, flexible working hours, the opportunity to be extended and the opportunity to be...

  • Compliance Manager

    2 months ago


    Newark on Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for an Interim Compliance Manager to join a local authority in the Nottinghamshire area. This role has the opportunity for extension or to become a permanent position. In return you will receive a 3 month contract, competitive day rate, hybrid working, flexible working hours, the opportunity to be extended and the opportunity to be...

  • Compliance Manager

    2 months ago


    Newark on Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for an Interim Compliance Manager to join a local authority in the Nottinghamshire area. This role has the opportunity for extension or to become a permanent position. In return you will receive a 3 month contract, competitive day rate, hybrid working, flexible working hours, the opportunity to be extended and the opportunity to be...

  • Compliance Manager

    4 weeks ago


    Newark on Trent, United Kingdom Niyaa People Ltd Full time

    We are actively looking for an Interim Compliance Manager to join a local authority in the Nottinghamshire area. This role has the opportunity for extension or to become a permanent position. In return you will receive a 3 month contract, competitive day rate, hybrid working, flexible working hours, the opportunity to be extended and the opportunity to be...


  • Newark-on-Trent, United Kingdom Future Prospects Full time

    **Compliance and Legal Administrator** **Newark, Full time, Permanent** **Competitive Salary** Our Newark based client is seeking an **Compliance and Legal Administrator** to join their Legal (Compliance and Risk) team on a full time, permanent basis. This would be an excellent opportunity for somebody with 1 - 2 years’ experience within an administrative...


  • Newark-on-Trent, United Kingdom 24x7 Nottinghamshire Full time

    **Contracts & Compliance Admin Responsibility**: - Plan and organise staff availability on our inhouse computerised system ensuring maximum utilisation. - Ability to implement instructions whilst understanding and learning the needs of the passengers to ensure smooth operation of transport. - Ensure that all relevant training is and adhered to. - Be able to...

  • Compliance Officer

    2 weeks ago


    Stoke-on-Trent, United Kingdom Bond Recruitment Full time

    Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our clients, a very well established and well respected firm of Independent Financial Advisers based in Leek, Staffordshire. **Compliance Responsibilities** - Lead and implement all regulatory change projects - Complete all ongoing FCA reporting returns - Maintain data on...


  • Newark-on-Trent, United Kingdom Chattertons Solicitors Full time

    **Job Title**: Risk and Compliance Assistant **Hours of Work**:09.00 - 17.15 - Monday to Friday (36.25 per week) **Salary**:Depending on Experience **Location**:Newark **Summary**: We are a leading "Top 200" Law Firm and provider of wealth management services, based in Lincolnshire and across the Midlands. Established in 1856, we are considered to be one...

  • Compliance Officer

    1 month ago


    Burton-on-Trent, United Kingdom East Staffordshire Borough Council Full time

    COMPLIANCE OFFICER (LICENSING) East Staffordshire Borough Council is committed to creating a safe environment for those within the Borough and, therefore, is looking to recruit a Licensing Compliance Officer. This is an exciting opportunity to join a team of officers which exercise professional expertise in a range of duties and responsibilities....

  • Compliance Officer

    4 weeks ago


    Burton-on-Trent, United Kingdom East Staffordshire Borough Council Full time

    COMPLIANCE OFFICER (LICENSING) East Staffordshire Borough Council is committed to creating a safe environment for those within the Borough and, therefore, is looking to recruit a Licensing Compliance Officer. This is an exciting opportunity to join a team of officers which exercise professional expertise in a range of duties and responsibilities....

  • Property Asbestos

    2 weeks ago


    Newark-on-Trent, United Kingdom Eden Brown Full time

    Our client a Large Local Authority have an immediate requirement for an Asbestos Supervisor/Coordinator Initially for a period of 3 - 6 months, however expect this to be extended ! There is also the option of temp to perm for the right candidate. The role : * To manage the asbestos contract of the Local Authorities housing stock . * Will be familiar...

  • Property Asbestos

    2 weeks ago


    Newark on Trent, United Kingdom Eden Brown Full time

    Our client a Large Local Authority have an immediate requirement for an Asbestos Supervisor/Coordinator Initially for a period of 3 - 6 months, however expect this to be extended ! There is also the option of temp to perm for the right candidate. The role : * To manage the asbestos contract of the Local Authorities housing stock . * Will be...