£45,000 + Benefits
7 months ago
The role will involve:
- Ensuring the organisation is in line with the FCA Handbook.
- Monitoring and approving Financial Promotions.
- Sit on and take an active part of the Investment committee
- Interacting with the FCA on matters such as Regulatory Reporting and Approved Persons applications.
- Handling disciplinary matters for any compliance breaches.
- Ensuring the company is compliant with any regulatory changes.
- Carrying out compliance monitoring audits and offering feedback to members of staff and setting the overall compliance monitoring plan.
- Prior experience of working within an FCA environment
- Must have previous Investments experience.
- Ideally have relevant professional qualifications (Level 4 Diploma qualified)