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