Compliance Officer

2 days ago


Epsom, United Kingdom Optima Recruitment Full time

** Up to £28,000 ** Hybrid ** BUPA Membership ** Regular Performance Reviews ** Bonus Scheme ** Professional Study Support ** 23 days holiday a year rising to 27 days ** Free parking**

Our client is one of the leading employers in the area and are seeking a Compliance Officer. They offer professional and structured training and development opportunities, genuine career progression and a benefits package which is second to none.
- Assist in the completion, updating and reporting on the annual Compliance Monitoring Plan.
- Report on the level of the Group’s compliance with legislation, regulatory requirements and Codes of Practice and any resulting recommendations and actions.
- Conduct ongoing regular reviews and feedback to relevant business areas
- Maintain a compliance verification process, to include the recording, review, and approval of financial promotions, including the websites and social media.
- Provide advice and assistance to staff with the development, implementation and maintenance of compliant policies and procedures
- Assess the appropriateness of responses from stakeholders relating to recommendations made to determine if issues have been resolved appropriately
- Keep abreast of emerging compliance and conduct risks, both internally and externally, and informing Compliance [Monitoring] Manager where action is required
- Maintain up to date knowledge of regulatory requirements and business operations
- Assist in the assessment of training and competency requirements of employees, and in the development of internal training courses, as required.
- Identify and assist in the implementation of improvements to the operation of the Risk and Compliance Monitoring team
- Assist in the creation and maintenance of department documentation, procedures, and manuals

**Person Specification**:

- Educated to degree standard is essential
- Experience of working within financial services is preffered but not essential
- An ability to communicate complex ideas in a non-technical way
- Good interpersonal and stakeholder management skills
- Attention to detail
- Excellent report writing and communication skills
- An ability to present management information in a simple and effective way
- Ability to proactively prioritise and manage workload in a timely manner

**Additional Information**:

- Based in Epsom, hybrid role
- £25,000 - £28,000
- Scaled pension scheme - up to 16%
- 23 days holiday allowance rising to 27 with service
- Parking permit for a local car park
- Discretionary bonus based on both the company & your performance
- Social events
- Staff monthly draw
- Perkbox
- Bupa Private Medical Insurance
- Bupa Cash plan
- Professional study financial support
- Volunteer day per year
- Life assurance - 4x salary
- Income protection
- Season ticket loan
- Hybrid working options
- Buy and sell holiday

Refer a friend and earn £100 If you have a friend who is also searching for a new opportunity in the local area, recommend Optima and if we place them (providing they complete their 3-month probation period), you will receive a £100 retail voucher of yourchoice

Please note that if you have not been contacted within 5 working days, then unfortunately on this occasion your CV has not been shortlisted.

Optima Recruitment Limited are acting as a recruitment agency in relation to this vacancy and are an equal opportunities employer.


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