Our clients are local to Watford and due to success and growth require a Compliance Consultant on a part time or full-time basis, minimum of 3 days per week. This is a generalist role and will consist of briefly:

Overview:

Planning and organising and maintaining the smooth running of office systems and processes Overseeing all compliance functions within the firm including completion of appropriate FCA returns and overseeing the client advice process.

Compliance

Keeping up to date with regulatory requirements, reviewing and updating our procedures.

Recording and updating required registers and plans such as advertising, business continuity, gifts, T&C, TCF, Business Continuity Plan etc.

Acting as Money Laundering Reporting Officer and ensuring anti money laundering requirements are complied with including staff training. You will not necessarily need to be active SMF16 or SMF17.

Carrying out file checks and resolving any issues arising, including staff training and improvements in processes.

Carrying out pre-sales file checks for Equity Release sales and resolving any issues arising

Obtaining data from back office system for preparing and submitting required FCA returns every six months.

Dealing with any FCA queries

Acting as Data Protection Officer to ensure adherence to data protection legislation and staff training

Investigating complaints and reviewing any lessons to be learned from the issue and any staff training required

Office Systems

Liaising with other staff to plan and implement processes for dealing with client administration

Reviewing client data to ensure accurate information is held and updating/amending/implementing systems and procedures as appropriate

Hours are flexible i.e. 0930 start 1630 finish for example.

This is a permanent position salary in the region of £50k pro Rata