Job Information

Our clients are local to Borehamwood and due to success and growth require a Compliance Consultant on a part time basis, 3 or maybe 4 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 CF10 or CF11.
Preparation of files for file checks by external consultants and resolving any issues arising, including staff training and improvements in processes
Obtaining data from back office system for preparing and submitting required FCA returns every quarter
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 3 or 4 Days per week and they can also be flexible on hours i.e. 0930 start 1630 finish for example.

This is a permanent position salary in the region of £50k to £60K pro Rata negotiable