Compliance Officer

1 week 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 be responsible for ensuring 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.
  2. Develop and implement a scalable T&C framework to support the company's growth ambitions.
  3. Lead a team of supervisors to deliver required T&C outcomes.
  4. Arrange external T&C audits as necessary.
  5. Oversight and ownership of the internal and outsourced file review process.
  6. Build positive relationships with advisers and their support staff.
  7. Develop and maintain control systems to ensure regulatory compliance.
  8. Evaluate and improve control systems continuously.
  9. Revising procedures, reports, and file checking.
  10. Assessing the company's future ventures for potential compliance risks.
Requirements:
  1. Proven experience in a compliance role within the financial services sector.
  2. In-depth knowledge of FCA standards and regulations.
  3. Excellent knowledge of reporting procedures and record keeping.
  4. Outstanding communication and interpersonal skills.
  5. Ability to work under pressure and meet deadlines.
  6. Solution and service-oriented.
  7. Technology savvy and willing to adapt to new systems and software.
  8. Good analytical and decision-making skills.
  9. Strong influencing skills.
  10. Discrete and professional in all communication.
  11. Strong emotional intelligence.
  12. Effective listener.
  13. Willingness to challenge constructively.
  14. Organized and effective prioritization.
  15. Adaptable and flexible.
  16. Self-motivated and able to work independently.

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