Compliance Officer

Overview

Our client is an award‑winning company who is rapidly growing and looking for a compliance officer to join their team. They take pride in everything they do, work hard to maintain excellent customer service and achieve the best results for their clients.

Responsibilities

• Provide advice to colleagues on new and old regulations.
• Reporting at a board level on conduct and compliance.
• Design a program for monitoring regulations and ensuring compliance.
• Stay up to date with regulatory changes and how they will be implemented in the firm.
• Review all business promotions to ensure they are compliant with regulatory requirements.
• Ensure TCF is embedded across the group.
• Review and provide compliance advice on new products and/or sales initiatives.
• Be the main point of contact for compliance and provide ongoing training.
• Liaise with the FCA, where necessary, to ensure compliance for clients.
• Manage GABRIEL returns.

What’s in it for you

• Join a growing, successful and award‑winning company.
• Highly competitive salary.
• Quarterly social events.
• Christmas shutdown and 24 days holiday.
• Free onsite parking.

Skills and experience required

• Experience working in a Financial Services firm – Essential.
• Previously experience communicating with stakeholders on multiple levels – Essential.
• Qualifications in CeMap and Level 4 diploma – Desired.
• Knowledge and understanding of the FCA Principles of Business.