MERJE Staffordshire, England, United Kingdom (Hybrid)
Our clients are an exciting, independently owned brand in financial services. They are looking for a Compliance Officer to support the growth of the business.
The Compliance Officer will be responsible for ensuring that the company complies with all regulatory requirements, reviewing and updating policies and procedures, providing compliance training, and conducting compliance audits.
In addition, the Compliance Officer will be responsible for monitoring and reporting on regulatory developments that impact the company.
Lead and implement all regulatory change projects relevant to the business
Complete all ongoing FCA reporting returns
Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated plans
Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirement of the T&C scheme, providing detailed feedback to advisers where required and aid any identified development needs
Produce quarterly and annual compliance MI reporting to the directors
Manage the Compliance Monitoring plan for BMFS
Manage the Risk Register for BMFS
Oversight and management of the T&C scheme and all relevant documentation
Supervision of all regulated adviser roles, including oversight of trainee adviser development plans, annual adviser risk assessments, adviser knowledge assessments, CDP, KPI’s, and completion of half-yearly appraisals
Key Skills and Experience:
Compliance Management and Regulatory Compliance skills
Excellent Communication Skills - This role requires regular communication with clients and colleagues.
Finance Skills - A strong understanding of financial planning products and strategies is essential to this role.
Experience in the financial services industry - Experience in compliance or a regulatory role is desirable for this position
Level 4 Diploma qualification
A relevant degree or professional qualification - A degree in accounting, finance, law, economics or a related field will be beneficial for the role
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.
If you would like this job advertisement in an alternative format, please contact MERJE directly.