Regulatory Compliance Expert
3 days ago
As a leading player in the Financial Services industry, Cathedral Appointments | South West Recruitment is dedicated to fostering a culture of integrity and excellence.
This exciting opportunity for a Compliance Officer allows the successful candidate to utilise their skills and experience in driving regulatory compliance across the organisation.
Main Objectives- Regulatory Frameworks: Develop and maintain robust policies to ensure seamless adherence to FCA regulations, particularly concerning Consumer Duty and vulnerability in advice.
- Risk Identification: Identify potential risks related to conduct, conflicts of interest, and data security, implementing mitigation strategies as necessary.
- Employee Education: Plan and deliver comprehensive training sessions to enhance employee understanding of regulatory compliance and professional standards.
- Governance Practices: Conduct regular audits and risk assessments to guarantee adherence to established governance protocols.
- A minimum of 3 years of experience in compliance roles within IFA/Wealth Management, with profound knowledge of FCA rules.
- Ideal candidates hold Level 4 CII certification or are actively pursuing it.
- Superior organisational, analytical, and communication skills, complemented by fluency in MS Office applications.
- Exceptional leadership abilities and a proactive approach to problem-solving.
The successful candidate can expect a highly competitive remuneration package, encompassing an estimated salary range of £50,000 - £70,000 per annum, plus attractive benefits, including 25 days annual leave, pension scheme, and statutory sick pay.
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