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Compliance Officer

2 months ago

StratforduponAvon, Warwickshire, United Kingdom The Portfolio Group Full time
Compliance Manager

We are seeking a highly motivated and skilled Compliance Manager to join our client's evolving Compliance Team.

Key Responsibilities:

  • Compliance Risk Assessment: Analyze the full sales process to ensure compliance with regulatory authorities and internal quality guidelines.
  • Quality Control: Assess sales calls and sales teams to ensure quality and compliance standards are met.
  • Compliance Investigations: Conduct investigations and identify recurring themes and trends.
  • Compliance Procedures: Design, implement, and enhance compliance procedures aligned with business objectives.
  • Compliance Monitoring: Monitor and implement compliance controls, including spot checks of documents.
  • Internal Audits: Perform internal audits of sales-related processes from a compliance perspective.
  • Education and Engagement: Develop and deliver an education and engagement program through training and communication with senior management.
  • Reporting: Regularly report to senior management on compliance reviews and recommended actions.

Qualifications and Skills:

  • Prior experience in a regulated environment is preferred.
  • Strong planning and organisational skills with exceptional attention to detail.
  • Excellent communication skills and the ability to provide constructive feedback.
  • High level of integrity, accountability, and commitment to delivering results.