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Compliance Officer

  • Location

    Leeds

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £Market Rate

  • Consultant:

    Paul Sherlock

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/14406

  • Published:

    19 days 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