Compliance Officer

3 days ago

Ferndown, United Kingdom Bond Williams Full time

Compliance Officer - P/T - Ferndown - Salary up to £30,000 pro rata

Our client based in Ferndown is looking for a Compliance Officer to join them on a part time basis. You will be responsible for performing risk assessments, monitoring compliance laws practiced in the workplace and reporting on business functions relating to current risk and compliance performance.

The salary for this role is up to £16,000 based on a 20 hour working week.

Main responsibilities
- Have a good understanding of risk in order to perform risk assessments
- Keep up to date with, and understand, relevant laws and regulations
- Ensure compliance is monitored in line with laws, regulations and internal policies
- Manage voluntary best practice relating to professional standards
- Ensure information from investigations are recorded accurately and followed up with management so that any issues can be rectified
- Investigate irregularities and non?compliance issues
- Report on business functions on current risk and compliance performance
- Highlight or escalate areas of concern
- Contribute to robust and effective compliance controls within the organisation
- Review marketing materials, presentations and websites to ensure compliance with regulatory requirements
- Assist in the gathering of internal information in response to regulatory requests.
- Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
- Perform case checks including suitability reports
- Liaise with providers to produce commission reports

Skills & experience required:

- Previous experience within financial services
- Knowledge of suitability reports and compliance practices
- Understanding of SMCR, Consumer Duty and Financial Promotions
- Excellent problem solving abilities in order to make decisions on information which is not always readily available
- Able to analyse and interpret information quickly
- Familiar with regulations enforced by the Financial Conduct Authority
- Project management skills
- Good attention to detail and accuracy
- Experienced in Microsoft programmes especially Word, Excel & Adobe

Bond Williams Professional Recruitment are an equal opportunity employer and operate as an Employment Business and Recruitment Agency

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