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Group Compliance Officer

4 months ago

Coventry, United Kingdom Brookson Group Full time

An exciting opportunity for a Group Compliance Officer has become available within the Brookson Group. The role will provide full compliance services fundamentally for Brookson Financial, so experience and qualifications in Financial Services is required.

Since joining the Brookson Group, Brookson Financial have experienced significant growth and now boast specialist teams for mortgages, protection and investment advice. We're passionate about developing people and heavily invest in qualifications within Financial Services to help our employees progress.

You will report directly into the Associate Legal & Compliance Director as part of the group compliance function, whilst also working closely with the Director of Financial Services and Head of Financial Services and our Coventry and Warrington based FS teams.

**What will you be doing as a Group Compliance Officer?**
- Manage the FCA relationship and be responsible for completion of all FCA reporting duties
- Responsible for horizon scanning future compliance issues and protecting the business against them.
- Ongoing management of a centralised investment proposition
- Design and implementation of new regulations e.g. Consumer duty
- Manage AML checks
- Management and process of complaints
- Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products
- Preparing and reviewing business compliance KPIs
- Reviewing and signing off literature against the firms’ services and FCA Financial Promotions rules
- Performing regular reviews and updating of financial services policies and processes in line with relevant legislation.
- Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date
- Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports
- Supporting the Head of Financial Services with the documentation of review visits and any other requirements
- Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance
- Working with the wider group compliance team to ensure relevant compliance processes are designed, trained and delivered to the wider Brookson business

**What are we looking for?**
- Experience of developing a strong control environment within the financial services sector
- Proven ability to report with clarity on issues and actions taken to resolve those issues.
- Proven ability to make clear assessments on the priority and importance of reporting
- Have a solid working knowledge of COBS, ICOBS and MCOBS.
- Exceptional communication skills, both written and verbal
- Strong organisation skills
- Proven ability to work on your own initiative
- Personable with the proven ability to build strong working relationships

**Culture is a big thing to us at Brookson**

Whilst our people serve our rich variety of customers in different ways, it’s our behaviours that never change, and that sets us apart.

Our people look after each other too, with real sincerity, and by doing so, we work to be the very best version of Brookson every single day. Our behaviours framework is simple to understand, and we know to flourish in our business, you’ll live them in every interaction with colleagues and customers alike.
- **WE OWN IT AND GET IT DONE.** We do what we say we are going to do. We keep our fingers on the pulse, and make things happen
- **WE’RE IN IT TOGETHER**. This is a team game. The biggest enabler to our business succeeding is us working together as ONE cohesive team.
- **WE’RE ALL IN FOR THE CUSTOMER**. There must be a better way. We challenge ourselves constantly to give our customers the best possible service.
- **WE DELIVER GREAT RESULTS.** Unrelenting tenacity pushes us to break new boundaries again and again.

**Benefits**
- Ongoing structured training and support with regular re-cap sessions
- Study support for professional qualifications
- Hybrid/flexible working options available
- Annual bonus based on performance
- 23 days’ annual leave, plus bank holidays and your Birthday day off each year pus the opportunity to buy and sell holidays
- Wellbeing benefits include discounted gym membership, access to mindfulness resources, confidential support 24/7, direct GP access, and in house Mental Health First Aid team to name a few
- Cycle to work scheme
- Local and online discounts
- Life Assurance policy and Health Care cover

**Next Steps**

All applicants are required to have right to work in the UK (sponsorship not available for this role)

To find out more, please contact Ele from the Talent Team on 07477828525

**Job Types**: Full-time, Permanent

Application question(s):

- Would you be able to reliably travel to the Coventry office 1-2 times per week?
- What is your current notice period?
- What are your salary expectations?

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