Compliance Officer
1 month ago
A highly regarded independent Investment firm is seeking an experienced Compliance Officer to oversee their Compliance team who are based at their West Oxfordshire office.
This is a significant role within the business and requires an accomplished individual with their CISI Level 6 Diploma in Financial Compliance (or equivalent) and who holds the SMF 16 function.
The Compliance Officer will be responsible for providing an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates.
The focus is primarily on FCA compliance but also encompasses compliance with the Data Protection Act and Proceeds of Crime Act.
The Compliance Officer will ensure that the business and its Appointed Representatives comply with all regulations, which apply to its permitted activities, by way of undertaking monitoring reviews to demonstrate compliance.
Key Responsibilities:
- Provide an effective systems and controls framework across the Organisation.
- Ensure compliance with all regulatory regimes under which the business operates.
- Monitor reviews to demonstrate compliance.
Requirements:
- CISI Level 6 Diploma in Financial Compliance (or equivalent).
- SMF 16 function (Compliance oversight function).
- Ability to manage and oversee a small compliance team.
- Experience within the investment/financial planning industry is essential.
You will be located within a commutable distance to Witney, Oxfordshire, OX28 as this is a full-time office-based role.
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