Compliance Officer

7 days ago

Thame, United Kingdom Wills & Trusts Wealth Management Group Full time

**Company Description**

Wills & Trusts Wealth Management Group are an award-winning financial and legal services organisation, currently looking to add to our Compliance Team. Repeated winners of the ‘Best Adviser to Work For’ trophy in the Professional Adviser Awards, and also recently certified by Most Loved Workplace®, and awarded Top 100 ‘Best Places to Work’ by Professional Adviser, we know what it takes to make coming to work a pleasure rather than a means of paying the bills.

Due to a period of upcoming maternity leave, we are looking to recruit a Compliance Officer to join our dedicated team and support the Head of Department with the ongoing management and monitoring of risk across the group of companies.

Key responsibilities will include:

- Provision of support to ensure the delivery of an effective Compliance function, where high standards are implemented and maintained.
- Liaising with members of the leadership team and heads of department to identify potential risks that may damage the reputation, safety, security or financial position of Wills & Trusts Wealth Management Group and its subsidiaries.
- Implement or oversee processes and procedures to ensure the business is prepared to deal with any potential regulatory issues or threats.
- Provide compliance guidance and training to relevant members of the business regarding changes in legislation
- Drafting policies and procedures, ensuring adherence to regulations
- Have confidence to challenge business decisions and processes to ensure that the business always remains compliant with FCA regulations, whilst also balancing commercial needs of the business
- Understand complex management and regulatory information and translate this into an easy to understand format for key stakeholders
- Ensure that the firms procedures, systems and controls comply with the requirements of the Financial Services and Markets Act 2000, the FCA Statements of Principle & Code of Practice along with relevant FCA rules and guidance.
- Conduct regular internal reviews or audits to ensure that compliance procedures are followed
- Provide detailed MI to compliance Manager for reporting purposes
- Collate information for monthly compliance meetings including file reviews, breaches, complaints and provide feedback where necessary
- Complete RMAR reporting and work with the Compliance Manager to ensure the information provided is accurate
- Ensure any trading names are changed through the FCA
- Assist with sign off / implementation of internal policies, procedures and guidance
- Support with projects as directed by the Compliance Manager
- Provide professional insight and suggestions with a view to creating process and performance efficiencies across the business
- Work with the HR department to ensure the firms recruitment process is adhered to
- To complete Form C‘s for individual functions that are no longer required
- Ensure any complaints are adhered to in a timely manner as set by the FCA and within W&T service level agreements
- Where necessary liaise with clients to obtain a better understanding of the complaint
- Ensure complaint registers are maintained including any previous acquisition complaints
- Complete detailed investigation of complaints
- Identify and analyse root cause of complaints and refer to the Compliance Manager with findings
- Liaise with 3rd parties such as PI Insurer and the Financial Ombudsmen
- Issue final letters to clients after investigation
- Maintain accurate records of all correspondence in relation to complaints
- Liaise with providers/advisers/administration staff where necessary to resolve complaints
- Make appropriate offers to complainants including redress/ex-gratia payment and issue final letters

**Qualifications**

Our ideal applicant will have previous compliance experience, alternatively you may have previously worked at a senior level within an administrative role within an IFA or similarly regulated professional environment.

To be successful within the post you will be the sort of individual that always has an eye for detail, is highly organised and able juggle multiple priorities, often having to adapt and be flexible at short-notice as business priorities change.

**Additional information**

In return for all your efforts we believe in recognising, developing and rewarding our colleagues. We offer a supportive working environment that can help you achieve your personal goals and career growth. As a growing company we have plenty of opportunities beyond your initial starting position with us. We also offer a comprehensive benefits package including a generous holiday allowance that increases with service, your birthday off work, paid Charity days, early Friday finish, cycle to work scheme, a retail discount and cashback scheme, personal financial planning advice, a variety of wellbeing support initiatives and much, much more besides.

**Job Type**: Permanent

**Salary**: £24,000.00-£34,000.00 per year

**B

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