Compliance Officer

6 days ago


Leek, Staffordshire, United Kingdom Bond Recruitment Full time £30,000 - £60,000 per year


Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our clients, a very well established and well respected firm of Independent Financial Advisers based in Leek, Staffordshire.
Compliance Responsibilities

  • Lead and implement all regulatory change projects
  • Complete all ongoing FCA reporting returns
  • Maintain data on FCA directory
  • Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans
  • Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover
  • Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirements of the T&C scheme, providing detailed feedback to advisers where required to aid any identified development need P
  • Produce quarterly and annual compliance MI reporting to the directors
  • Manage the Compliance Monitoring plan
  • Manage the Risk Register
  • Draft key regulatory documents for the directors, including Capital Adequacy, Wind down plan, Business plan
  • Produce, implement and monitor completion of all annual compliance staff training and new staff induction
  • Management of regulated complaint process, including investigation and communications with clients and FOS
  • Oversight and compliance approval of financial promotions
  • Provide ongoing regulatory advice, including to directors and Investment Committee
  • Key liaison point for external compliance support threesixty, including six monthly business risk assessments and completion of associated action plans
  • Implementation and oversight of processes, including CIP, CRP, advice and annual review processes
  • Implementation and oversight of all policies, including GDPR, Conflicts of Interest, Vulnerable Clients, product governance, etc
  • Oversight and management of SM&CR requirements, including Statements of Responsibility
  • LEI renewal

T&C responsibilities

  • Oversight and management of the T&C scheme and all relevant documentation
  • Supervision of all regulated adviser roles, including oversight of trainee adviser development plans, annual adviser risk assessments, adviser knowledge assessments, CPD, KPIs, and completion of half yearly appraisals
  • Completion and requesting of regulatory references
  • Completion of annual fit and proper checks (DBS, credit reference checks, annual fit & proper declarations) and annual re-certification of all certification staff

Requirements

  • Level 4 Diploma in Financial Advice
  • 2 years or more in a technical financial planning role


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