Compliance Officer
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Location
Leeds
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Discipline:
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Job type:
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Salary:
£Market Rate
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Consultant:
#
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Email:
psherlock@merje.com
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Job ref:
PS/14406
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Published:
over 2 years ago
Our client is a leading financial services business who are currently recruiting for a Compliance Officer. The role will be responsible for ensuring that the business fulfils the FCA’s requirements and meets all relevant regulations.
Key Responsibilities:
- Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and potentially field based. Assist with tasks in relation to the Compliance Plan
- Review customer complaints where required, to complete MI, contribute to Root Cause Analysis, and to submit regulatory reports
- Monitor specific managed portfolio issues and assessment of suitability
- Review and monitor work relation to daily queries, based primarily on Compliance duties
- Review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance
- Monitor Training & Competence arrangements throughout Head Office and Branches
- Maintain a working knowledge of the FCA Conduct of Business rules, APER and T&C framework and implications for the business
- Report any risks which may be detrimental to clients or the business which may arise
Key Requirements:
- Wide ranging knowledge of financial investments such as equities, fixed income securities and funds
- An overview of Training and Competence requirements
- Experience of portfolio management and/or wealth management
- Relevant investments qualifications