Senior Compliance Officer

2 weeks ago

Henley on Thames, Oxfordshire, United Kingdom Reed Full time
Senior Compliance Officer

Fabulous news - A Senior Compliance role linked to Highly skilled working at a similar level with the Head of Compliance in the Company - 100% office based 9am - 5pm. High salary.

Key Responsibilities:
  • Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.
  • Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures.
  • Work in requirements of the Data protection policy.
Main Role Purpose:

Hold the SMF 16 function (Compliance oversight function).

  • Provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates.
  • The focus is primarily on FCA compliance & also encompasses compliance with Data Protection Act & Proceeds of Crime Acts.
  • Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance.
  • Assist in the development & maintenance of effective systems and processes within the Organisation.
Requirements:
  • Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance.
  • Ability to manage own workload & work within a team.
  • Knowledge of business processes, standards, policies & procedures.
  • Experience within the Financial Services Industry.
  • Exceptional communication skills all levels.
  • Excellent organisational skills.
  • Knowledge of Microsoft Word Excel, Outlook & Ideally Intelligent Office, Volume, Imago & Pulse dealing system.
  • Ability to work under pressure at times.
  • Provide leadership for the team.
  • Knowledge & understanding of Statements of Principle for Approved Persons.
Plus Responsibilities & Limits of Authority:
  • Assist the Heads of other departments in any tasks relating to the development of business.
  • Other duties which may reasonably be expected & which fall within your capabilities or general area of responsibility.
  • In accordance with rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc., in order to be able to oversee & monitor the activities that come under those regulations.
Duties in the Role & Responsibility:
  • Implement the objectives set out in the CISL Compliance Manual & Compliance Monitoring Programme.
  • Advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.
  • Suggest changes to scope of reviews or focus on areas where new risks are identified.
  • Ensure employees receiving training in complaint handling procedures.
  • Assist the Compliance Officer in ensuring that the company establishes & maintains at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the business in errors, irregularities or fraud.
  • Also monitor all aspects of the business to identify actual or potential weaknesses.
  • Act as Senior Compliance Officer identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.
  • Assist in providing advice & coaching to employees to enable them to deliver process improvements.

Apply if linked to Compliance Officer in an Investment Business Financial Compliance Skills.

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