Compliance Officer

2 weeks ago

Ferndown, Dorset, United Kingdom Reed Full time
{"title": "Compliance Officer", "company": "Reed Financial Services", "description": "We are seeking a highly skilled Compliance Officer to join our team at a well-established independent financial advisers with offices based in Ferndown near Bournemouth. The successful candidate will be responsible for overseeing the daily operations related to compliance within the company, interpreting and communicating regulatory, legislative, and industry standard changes, and developing and updating company compliance policies and procedures.

Responsibilities:

* Day-to-Day Compliance Function: Oversee the daily operations related to compliance within the company.
* Regulatory Interpretation: Interpret and communicate the latest relevant regulatory, legislative, and industry standard changes.
* Policy Creation and Update: Develop and update company compliance policies and procedures.
* Staff Training: Conduct training to ensure the company's internal structure adheres to the FCA's guidelines.
* File Checking: Ensure a consistently high level of service is provided to clients through regular file checks.
* Control Systems Development: Develop and oversee control systems to maintain adherence to regulations and internal policies.
* Control Efficiency Evaluation: Continuously evaluate and improve the efficiency of controls.
* Procedure Revision: Revise procedures and reports as necessary.
* Adviser Meetings: Conduct one-on-one meetings with advisers.
* KPI Monitoring: Monitor individual key performance indicators.
* External Compliance Audits: Manage external compliance audits.
* Reporting: Report to the compliance director.

Requirements:

* Qualification: Minimum Level 4 Diploma in Financial Planning.
* Proven Experience: Demonstrable experience in a compliance role within the financial services sector.
* Knowledge of FCA Standards: In-depth understanding of FCA standards and regulations.
* Reporting and Record Keeping: Excellent knowledge of reporting procedures and record-keeping practices.
* Communication Skills: Outstanding communication and interpersonal skills.
* Pressure Management: Ability to work under pressure and meet deadlines.
* Orientation: Solution and service-oriented mindset.
* Technology Proficiency: Technology-savvy with a willingness to embrace new systems and software.
* Analytical Skills: Strong analytical and decision-making skills.
* Influencing Skills: Strong influencing abilities.
* Professionalism: Discreet and professional in all communications.
* Emotional Intelligence: High level of emotional intelligence.
* Listening Skills: Effective listener.
* Constructive Challenge: Willingness to challenge in a constructive and non-confrontational manner.
* Organisation and Prioritisation: Organised multi-tasker with effective prioritisation skills.
* Adaptability: Adaptable and flexible approach.
* Self-Motivation: Self-motivated, able to work independently and as part of a team.
* Team Player: Ability to integrate seamlessly into a highly successful company.

If you are a motivated and experienced Compliance Officer looking for a new challenge, please submit your CV for consideration.", "lang_code": "en-US"}

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