Senior Compliance Officer
7 days ago
**Job Title:** Senior Compliance Officer
**Job Description:
Company OverviewMERJE is a leading recruitment agency specializing in financial services. Our mission is to connect exceptional professionals with innovative companies.
We are currently seeking an experienced Senior Compliance Officer to join our client, an award-winning independent financial advice firm.
SalaryThe estimated salary for this role is £60,000 - 80,000 per annum, depending on experience and qualifications.
Job ResponsibilitiesAs a Senior Compliance Officer, you will be responsible for ensuring the business meets all regulatory obligations and supports the Director in their fulfillment of SMF16/17 responsibilities and wider compliance duties. Your primary tasks will include:
- Assisting the Compliance Officer in completing actions arising from the firm's Business Diary and Compliance Monitoring Programme
- Supporting the Compliance Officer with the firm's Complaints Handling process
- Staying up-to-date with regulatory changes
- Assisting the Compliance Officer with preparation for meetings with the Board and General Manager, undertaking any actions arising from the meetings as directed
- E nsuring the team's compliance with the Financial Services and Markets Act 2000 and the relevant FCA rules at all times
- Ensuring the team's compliance with TCF, SMCR, T&C, and financial crime procedures (anti-money laundering, data security, antibribery, fraud, and corruption) at all times
- Challenging or reporting, where appropriate, the advice provided by advisers
- Assisting in post-sale reviews of at least 10% of completed cases each month
- Assisting in pre-sale reviews where the criterion for pre-approval is met and in 100% of cases for non-CAS advisers
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