Compliance Officer

2 weeks ago

Horsham, West Sussex, United Kingdom Artemis Recruitment Consultants Ltd Full time
Compliance Officer - Horsham

We are seeking an experienced Compliance Officer to join our client's team in Horsham. The successful candidate will work closely with the owners and existing compliance staff to ensure the company adheres to FCA guidance and internal policies.

Key Responsibilities:
  1. Manage the company's T&C scheme, including adviser supervision, certification, development, and file checking, ensuring efficient and high-quality delivery of required outcomes.
  2. Develop and maintain a scalable T&C framework to provide oversight of new advisers, aligning with FCA requirements.
  3. Lead a team of supervisors to deliver required T&C outcomes.
  4. Arrange external audits as necessary.
  5. Oversight and ownership of the internal and outsourced file review process, addressing complex and sensitive issues.
  6. Build strong relationships with advisers and support staff, balancing commercial needs with regulatory responsibilities.
  7. Establish and maintain control systems to ensure regulatory compliance and internal policies.
  8. Evaluate and improve control efficiency continuously.
  9. Review procedures, reports, and file checking processes.
  10. Assess potential compliance risks in future ventures.
Requirements:
  1. Proven experience in a compliance role within the financial services sector.
  2. In-depth knowledge of FCA standards and regulations.
  3. Excellent reporting procedures and record-keeping skills.
  4. Outstanding communication and interpersonal skills.
  5. Ability to work under pressure and meet deadlines.
  6. Solution-oriented and service-minded.
  7. Technology savvy and willing to adapt to new systems.
  8. Strong analytical and decision-making skills.
  9. Effective listener and influencer.
  10. Discreet and professional in all communication.
  11. Strong emotional intelligence.

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