Senior Compliance Officer Linked To The Head Of Compliance

1 month ago

Henley on Thames, Oxfordshire, United Kingdom Reed Full time

Fabulous Great 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

Senior Compliance Officer:

  1. Comply with the FCA's Consumer Duty requirements, & other requirements in the company manual & processes.
  2. Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures.
  3. Work in accordance with the Data Protection policy.

Main Role Purpose:

  1. Hold the SMF 16 function (Compliance oversight function).
  2. Provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates.
  3. The focus is primarily on FCA compliance & also encompasses compliance with the Data Protection Act & Proceeds of Crime Acts.
  4. Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance.
  5. Assist in the development & maintenance of effective systems and processes within the Organisation.

Minimum Requirements:

Must have a MINIMUM OF 5 YEARS EXPERIENCE IN SENIOR COMPLIANCE FINANCIAL SERVICES.

Skills & Knowledge Requirements:

  1. Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance.
  2. Ability to manage own workload & work within a team.
  3. Knowledge of business processes, standards, policies & procedures.
  4. Experience within the Financial Services Industry.
  5. Exceptional communication skills at all levels.
  6. Excellent organisational skills.
  7. Knowledge of Microsoft Word, Excel, Outlook & ideally Intelligent Office, Volume, Imago & Pulse dealing system.
  8. Ability to work under pressure at times.
  9. Provide leadership for the team.
  10. Knowledge & understanding of Statements of Principle for Approved Persons.

Responsibilities & Limits of Authority:

  1. Assist the Heads of other departments in any tasks relating to the development of business.
  2. Other duties which may reasonably be expected & which fall within your capabilities or general area of responsibility.
  3. 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 oversee & monitor the activities that come under those regulations.

Duties in the Role & Responsibility:

  1. Implement the objectives set out in the CISL Compliance Manual & Compliance Monitoring Programme.
  2. Advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.
  3. Suggest changes to the scope of reviews or focus on areas where new risks are identified.
  4. Ensure employees receive training in complaint handling procedures.
  5. 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.
  6. Monitor all aspects of the business to identify actual or potential weaknesses.
  7. Act as Senior Compliance Officer identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.
  8. 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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