Senior Compliance Officer Linked to Head of Compliance

4 days ago

Henley on Thames, Oxfordshire, United Kingdom Reed Full time
Job Title: Senior Compliance Officer Linked to Head of Compliance

Fabulous news - A Senior Compliance role linked to highly skilled working at a similar level with the Head of Compliance in the Company - 100% OFFICE BASED 9am - 5pm. HIGH SALARY

Main Responsibilities:
  • Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.
  • Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures.
  • Work in accordance with the Data Protection policy.
Main Role Purpose:
  • Hold the SMF 16 function (Compliance oversight function).
  • Provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates.
  • The focus is primarily on FCA compliance & also encompasses compliance with the Data Protection Act & Proceeds of Crime Acts.
  • Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance.
  • Assist in the development & maintenance of effective systems and processes within the Organisation.
Requirements:
  • Must have a MINIMUM OF 5 YEARS EXPERIENCE IN SENIOR COMPLIANCE FINANCIAL SERVICES.
  • Skills & Knowledge Requirements:
    • Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance.
    • Ability to manage own workload & work within a team.
    • Knowledge of business processes, standards, policies & procedures.
    • Experience within the Financial Services Industry.
    • Exceptional communication skills at all levels.
    • Excellent organisational skills.
    • Knowledge of Microsoft Word, Excel, Outlook & ideally Intelligent Office, Volume, Imago & Pulse dealing system.
    • Ability to work under pressure at times.
    • Provide leadership for the team.
    • Knowledge & understanding of Statements of Principle for Approved Persons.
Responsibilities & Limits of Authority:
  • Assist the Heads of other departments in any tasks relating to the development of business.
  • Other duties which may reasonably be expected & which fall within your capabilities or general area of responsibility.
  • In accordance with rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc., in order to oversee & monitor the activities that come under those regulations.
Duties in the Role & Responsibility:
  • Implement the objectives set out in the CISL Compliance Manual & Compliance Monitoring Programme.
  • Advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.
  • Suggest changes to the scope of reviews or focus on areas where new risks are identified.
  • Ensure employees receive training in complaint handling procedures.
  • Assist the Compliance Officer in ensuring that the company establishes & maintains at all times effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the business in errors, irregularities or fraud.
  • Monitor all aspects of the business to identify actual or potential weaknesses.
  • Act as Senior Compliance Officer identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.
  • Assist in providing advice & coaching to employees to enable them to deliver process improvements.

APPLY IF LINKED TO COMPLIANCE OFFICER IN AN INVESTMENT BUSINESS FINANCIAL COMPLIANCE SKILLS.

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