Compliance Officer

4 weeks ago

Ferndown, Dorset, United Kingdom Reed Full time
Compliance Officer Job Description

Reed Financial Services is seeking a highly skilled Compliance Officer to join their team. As a Compliance Officer, you will play a crucial role in ensuring the company's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Oversee daily compliance operations and ensure adherence to regulatory requirements.
  • Interpret and communicate regulatory changes to the team.
  • Develop and update compliance policies and procedures.
  • Conduct training sessions to ensure the team's understanding of regulatory guidelines.
  • Perform regular file checks to ensure high-quality service delivery.
  • Develop and maintain control systems to ensure regulatory compliance.
  • Monitor and evaluate the efficiency of control systems.
  • Revise procedures and reports as necessary.
  • Conduct one-on-one meetings with advisers to discuss compliance matters.
  • Monitor individual key performance indicators.
  • Manage external compliance audits.
  • Report to the Compliance Director.
Requirements:
  • Minimum Level 4 Diploma in Financial Planning.
  • Proven experience in a compliance role within the financial services sector.
  • In-depth understanding of FCA standards and regulations.
  • Excellent knowledge of reporting procedures and record-keeping practices.
  • Outstanding communication and interpersonal skills.
  • Ability to work under pressure and meet deadlines.
  • Solution and service-oriented mindset.
  • Technology proficiency with a willingness to adapt to new systems and software.
  • Strong analytical and decision-making skills.
  • Strong influencing abilities.
  • Discreet and professional in all communications.
  • High level of emotional intelligence.
  • Effective listener.
  • Willingness to challenge in a constructive and non-confrontational manner.
  • Organised multi-tasker with effective prioritisation skills.
  • Adaptable and flexible approach.
  • Self-motivated, able to work independently and as part of a team.
  • 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 to apply for this exciting opportunity.

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