Regulatory Affairs Professional
9 hours ago
Career Opportunities: Compliance Officer at Clayton Davies
We are seeking a highly motivated and experienced Compliance Officer to join our team at Clayton Davies. As a Compliance Officer, you will play a key role in ensuring the successful onboarding of new firms into our company.
Job Description:
- Oversight of compliance workstreams to ensure a seamless onboarding process
- Liaising with vendors to maintain or transfer ongoing compliance responsibilities during the acquisition period
- Working collaboratively with other departments to facilitate the effective onboarding of new firms
- Management Information reporting and escalation of key risks and issues to the project management team
- Liaising with regional directors and project management teams to schedule compliance onboarding activities at the right time with minimal disturbance to vendors
- Tracking progress of FCA Change in Control and de-authorisation applications and supporting the Compliance Director in drafting those applications
- Coordinating staff onboarding training plans to ensure training and file checking is completed in sufficient time ahead of the completion date
- Ensuring areas of improvement highlighted in due diligence are factored into the training plan and validating that those improvements have been achieved ahead of completion
- Overseeing PI renewals, ensuring PI policies are maintained and drafting PI proposal forms where relevant
- Completion of RegData returns, submitting them on time and drafting returns for submission to the FCA where necessary
- Drafting procedures and coordinating roles and responsibilities across the regulatory function
Qualifications and Experience:
- Achieved the Regulated Diploma in Financial Planning (Level 4) or equivalent qualification
- Minimum 3 years' experience in a Compliance role within an IFA firm
The estimated salary for this position is around £55,000-£65,000 per annum, depending on location and experience.
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