Job Information

 Job Description

•    Monitor and assess compliance with relevant legal and regulatory requirements.

·         Develop and maintain compliance policies and procedures.

·         Conduct regular audits to identify potential risks and areas for improvement.

·         Act as the primary point of contact for regulatory bodies and external stakeholders.

·         Review and update documentation to ensure alignment with current regulations.

·         Prepare detailed reports on compliance activities and findings for senior management.

·         Client file reviews - looking at suitability of advice and adherence to regulatory standards.

·         Conduct risk-based Compliance Audits to evaluate the effectiveness of compliance controls and processes within the firms we work for.

·         Review and approve financial promotions - including websites, blog posts and use of social media platforms.

·         Help develop and implement compliance management strategies to ensure adherence to regulatory standards.

·         Monitor changes in regulation, legislation and industry standards - ensuring that new rules are properly understood and embedded.

·         Provide training and support to our firms on compliance-related matters.

·         Complaint investigations - in line with the FCA's Dispute Resolution Rules.

·         Assist in the development of policies and procedures related to compliance management.

 The Successful Applicant

 A successful Compliance Officer should have:

·         A strong understanding of regulatory requirements (FCA)

·         Conflicts and AML experience would be advantageous.

·         Experience in developing and implementing compliance frameworks.

·         Excellent attention to detail and analytical skills.

·         The ability to communicate complex information clearly and effectively.

·         A proactive approach to identifying and mitigating compliance risks.

·         Relevant qualifications with CII level 4 or compliance fields.

This role may suit an IFA Administrator or Paraplanner who would like to venture into a Compliance related role.

What's on Offer

Competitive salary in the region of £30,000-£40,000 per annum.

Hybrid working model, allowing flexibility between office and remote work. (2 days at the Crawley office)