Compliance Monitoring Officer

4 weeks ago

Birmingham, United Kingdom Ortus PSR Full time

**Compliance Monitoring Officer**:
Compliance - Market Harborough, West Midlands

Job Purpose:

- To monitor and report on the compliance and risk framework within the business
- Compliance policies and procedures preparation and review
- Monitoring and reporting on the implementation of the firm’s training and competency scheme.
- To review financial promotions and finalise prior to sign off by GCD.
- To review complaints and breaches and finalise prior to sign off by the GCD.
- To be responsible for preparing FCA regulatory reporting for sign off by the GCD.
- Assist with the preparation of board reporting and MI.
- Work with the GCD and other stakeholders to ensure compliance with the FCA rules and instil a positive compliance culture in line with the firm’s core values and that reflects the Consumer Duty.

**Responsibilities**:
General
- Horizon scanning for regulatory developments
- Ensure the firm continues to meet its threshold conditions (COND)
- Assist in the production of compliance reporting to senior management
- Undertake a separate money-laundering audit periodically for senior management
- Assist with the management of the Firm’s relationship with the Regulator in line with Principle 11*
- Ensure that the firm can respond on a timely basis to requests for information from the Regulator.
- Work with the GCD and external compliance support to ensure the firm complies with the Compliance and Training and Competence policies of the firm
- Comply with the requirements of the Financial Services and Markets Act 2000, the FCA Statements of Principle and Code of Conduct and the relevant FCA rules.

Further Responsibilities:
SMCR and Training and Competence
Compliance Monitoring
Systems and Controls
Regularly monitoring and reporting to the GCD, MLRO:
Knowledge
- Detailed knowledge of anti-money laundering and financial crime legislation, rules and guidance

Experience
- Minimum 3 years’ experience in retail financial planning

**Qualifications**:

- Preferred Level 4 diploma in Financial Planning
- Consent to, and have clear results for DBS check, bankruptcy search and any other background screening that is required for this position.

Skills / Personal Attributes
- Ability to influence others
- Attention to detail
- Self-motivation
- Self-management

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