Compliance Officer

3 weeks ago


Watford, Hertfordshire, United Kingdom CV-Library Full time
Job Overview

We are seeking a highly skilled Compliance Officer to join our team at CV-Library in Watford, Hertfordshire. As a key member of our Financial Planning department, you will be responsible for ensuring our firm's compliance with regulatory requirements and maintaining a strong risk management culture.

Key Responsibilities
  1. Develop and implement effective compliance programs to ensure adherence to regulatory requirements and industry standards.
  2. Conduct regular risk assessments and provide recommendations for mitigating potential risks.
  3. Collaborate with senior leadership to ensure compliance with Financial Services and Markets Act 2000, FCA Conduct rules, and Statements of Principle & Code of Practice.
  4. Stay up-to-date with relevant regulatory, product, and legislative requirements to ensure our firm remains compliant.
  5. Develop and maintain accurate, detailed, and up-to-date compliance records.
  6. Provide regular compliance reports to the leadership team and management body as required.
Requirements

To be successful in this role, you will need:

  • Excellent knowledge of financial services regulation and compliance.
  • Strong analytical and problem-solving skills.
  • Ability to work collaboratively with senior leadership and other teams.
  • Excellent communication and interpersonal skills.
  • Ability to maintain confidentiality and handle sensitive information.
What We Offer

We offer a competitive salary, excellent benefits package, and opportunities for professional growth and development. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.


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