Compliance Senior Officer

**Purpose**:
The main purpose of this role is to provide compliance management across the group ensuring robust and commercial adherence to governance bodies and regulators.

**Key Responsibilities**
- To complete DFM returns and reports in an accurate and timely manner
- To manage the compliance team tasks and members as appropriate
- To carry out any regulatory reviews that may arise or assist with other relevant projects within the Group for the management team
- To assist the investigation of complaints
- To take part in regulatory supervision of the Financial Consultants
- To review the suitability and quality of advice provided by our consultants to our clients and to ensure that any identified areas of concern or development needs are properly addressed.
- To oversee all aspects of Data Protection within the Group
- To assist in Anti-Money Laundering oversight within the Group

**Person Specification**:
**Assessment Key: A=Application Form I=Interview T=Test E = Evidence**

**Area**

**Requirement** **(All criteria are Essential unless defined as Desirable)**

**Assessed by**:
**Experience**

Previous experience of compliance file checking and complaints handling is very important. Will also need sound knowledge of the UK regulatory framework and understanding of regulatory risks relevant to the key tasks covered by the role.

A/I

Experience of working within a financial services environment, within a Compliance function Experience of Consumer Credit Regulations e.g. FCA CONC Sourcebook and CCA requirements, CA financial promotions regulations and the FCA handbook in general in particular the following source books; SYSC,PRIN,COBS and DISP

A/I

Experience of managing multiple projects

A/I

**Skills & Abilities**

Ability to communicate effectively with a wide range of people including legal representatives

A/I

Ability to prioritise and manage own workload

A/I

Ability to communicate effectively both orally and in writing.

A/I

Good knowledge of all the high-level standards expected by the FCA in particular the Systems and Controls Sourcebook (SYSC), Insurance Conduct of Business Sourcebook (ICOBS)

A/I

Good knowledge of the FCA money laundering section of the System and Controls Sourcebook (SYSC), Joint Money Laundering Steering Group (JMLSG) Guidance and other relevant financial crime legislation, including the Bribery Act

A/I

Self-starter: be able to work as individual, as part of a team and on own initiative, being able to think on their feet and develop within the role

A/I

Ability to multi-task, manage conflicting priorities and deliver within agreed parameters, especially under pressure

A/I

Good communication and presentation skills (verbal and written), including logical reasoning and analytical skills

A/I

Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory requirements

A/I

Ability to understand key business processes and make sound decisions in the best interests of the business and systems used to implement/maintain controls

A/I

Ability to digest and disseminate complex information to all stakeholders in a user friendly manner

A/I

**Personal Qualities**

Display self-motivation, drive and enthusiasm

A/I

Possess a flexible approach to work

A/I

Excellent telephone manner

A/I

Be hard working, enthusiastic and reliable

A/I

Be open and approachable and be able to gain the complete trust and confidence of all you work with both internally and externally

A/I

Be creative and able to identify and win acceptance to implement positive changes

A/I

**Qualifications**

A/I

IMC qualification desirable

A/I

**General Responsibilities**
- This job description is current at the date shown, but in consultation with you, it is liable to variation by management to reflect or anticipate changes in or to the job. It is expected the post holder will when required undertake other duties commensurate with the post and salary grading if required.
- Duties may involve having access to information of a confidential nature that may be covered by the Data Protection Act, be commercially sensitive or relate to client information. In such circumstances confidentiality must be maintained at all times in accordance with the company policies. If you are unclear at any time refer to your manager.
- Undertake all reasonable personal development actively designed to support you in your role.

**And last but not least.. what's in it for you?**
- We are passionate about growth and aim to provide every employee with a clear development plan, with regular reviews that enable them to reach their career goals
- Working within an expanding business with an ambitious growth strategy
- Fantastic benefits including private health care, flexible working opportunities, cycle to work scheme, employee recognition and more