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Compliance Monitoring Officer

2 months ago

StratforduponAvon, Warwickshire, United Kingdom Clayton Davies Ltd Full time

Our client, a successful financial services firm, is seeking a Compliance Monitoring Officer to join their team on a permanent basis at Clayton Davies Ltd.

Key Responsibilities:

The Compliance Monitoring Officer will support the Compliance function in delivering the following requirements:

  • Assisting the Compliance Director in ensuring the appropriateness of the company's overall Compliance Monitoring Programme, taking into account internal risk assessments, external regulatory developments, and the company's business plan.
  • Participating in the delivery of the company's File Review Programme, including all aspects of the work implicit in that Programme, such as Client Onboarding, Communication, and ensuring the Suitability of Pension Transfers recommendations and any Investment Schemes.
  • Undertaking or assisting in other Compliance Reviews and Monitoring activities in accordance with the timetable set out in the Compliance Monitoring Programme.
  • Reporting the findings of all review and monitoring activity, where appropriate, identifying root causes/wider implications, making recommendations for change, agreeing any remedial actions, and ensuring agreed remedial actions are carried out.
  • Undertaking research on regulatory developments applicable to the company, providing advice and assistance to the Directors, Managers, Committees, Other Groups, and Staff in respect of the impact of those developments on the company's policies and procedures.
  • Providing additional support to the Complaints Co-ordinator in the investigation and resolution of complaints, liaising with internal and external parties as required.
  • Assisting with the preparation and submission of regulatory reports and returns to the Financial Conduct Authority.

Experience Required:

  • Minimum Level 4 Diploma in Financial Planning and ideally hold AF7 (or equivalent).
  • Compliance experience within the Financial Advice sector.