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Compliance Officer

2 months ago

Warrington, Warrington, United Kingdom Recruitment Solutions (Folkestone) Ltd Full time
Compliance Officer / File Checker

A highly successful and award-winning chartered financial planning practice is seeking a Compliance Officer / File Checker to join its team. Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.

A competitive package is on offer with a comprehensive benefits package. Remote working is also available based on level of seniority and experience.

Key Responsibilities:
  • Develop and Implement Compliance Policies: Support the Compliance Director in developing and implementing comprehensive compliance policies and procedures throughout the organisation, including terms and conditions, advice frameworks, and scanning.
  • File Checks and Audits: Conduct thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback on areas for improvement.
  • Compliance Risk Management: Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk.
  • Regulatory Guidance: Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
  • Compliance Training: Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
  • Complaint Handling: Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions.
  • Regulatory Liaison: Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.
  • Compliance Culture: Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.
Requirements:
  • Qualifications: Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification, or working towards this.
  • Experience: Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.
  • Knowledge: Thorough understanding of FCA regulatory frameworks and compliance requirements.