AML Compliance Specialist

1 month ago


Newark on Trent, Nottinghamshire, United Kingdom Fiducia Group Full time
Compliance Officer Role

We are seeking a highly skilled Compliance Officer to join our expanding Compliance team at Fiducia Group Limited. As a Compliance Officer, you will play a crucial role in ensuring our firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  1. Monitor and review the firm's appointed representatives to ensure compliance with regulatory requirements.
  2. Onboard new appointed representatives, including verifying their documentation and ensuring they meet our compliance standards.
  3. Complete tasks as outlined in our compliance monitoring plan.
  4. Respond to compliance queries from appointed representatives in a timely and professional manner.
  5. Maintain our firm's compliance with the Consumer Duty and report any concerns to the Head of Compliance.
  6. Ensure compliance with the Compliance Training & Competence Scheme and the Financial Services and Markets Act 2000.
  7. Manage and respond to all matters related to the compliance inbox.
Requirements:
  1. Excellent verbal and written communication skills.
  2. Proficiency in Microsoft Excel and other relevant software.

If you have a strong background in compliance and regulatory affairs, we encourage you to apply for this exciting opportunity to join our team at Fiducia Group Limited.



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