Senior Compliance Officer (Contract)
6 month contract
£70000 - £80000 + bonus + benefits
Home Counties – Hybrid 2 days in office
About the Company
Very successful and established stock broking and wealth management company have a generalist compliance role reporting to the Head of Compliance. The role will be helping with anything from policy writing to helping with consumer duty, and BAU work.
Skills & Experience Required
- At least 4 years in a generalist compliance role.
- Experience gained within the stock-broking / broking environment.
- Strong communication skills and able to communicate with all levels of internal colleagues as well as external customers when required.
- Strong regulatory and compliance knowledge
About the role
To assist and work with the Head of Compliance to implement risk assessments, compliance policies and procedures. Undertaking specified checks and controls to ensure that all departments are compliant with the appropriate regulations and procedures.
- Be responsible for and support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators. Ensure compliance with related legislation.
- Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
- Assist with monitoring of regulatory breaches and manage the resolution of potential and actual incidents to achieve the optimum outcome escalating as appropriate to the Head of Compliance.
- Log receipt of FCA notices and good practice guidance, review to determine applicability and assist in advising procedural amendments required to managers responsible throughout the firm, while ensuring they are implemented.
- In liaison with the Head of Compliance, ensure that any client complaints are reviewed and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls.
- Working with the Head of Compliance, assist in embedding staff awareness and training of compliance policies and procedures.
- Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects.
- Assist in the preparation of regulatory submissions.
- Assist with ad hoc projects, not limited to but including new regulatory guidance, introduction and implementation.
- Provide guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
- Provide regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance. Deputise for the Head of Compliance when required and assist where possible, with any workload bottlenecks and emerging problems through continual reassessment of any changing circumstances, find resolution or escalate to Head of Compliance.
SPONSORSHIP WILL NOT BE PROVIDED
+ bonus + benefits Home Counties – Hybrid 2 days in office About the Company
Very successful and established stock broking and wealth management company have a generalist compliance role reporting to the Head of Compliance. The role will be helping with anything from policy writing to helping with consumer duty, and BAU work.
Skills & Experience Required
• At least 4 years in a generalist compliance role.
• Experience gained within the stock-broking / broking environment.
• Strong communication skills and able to communicate with all levels of internal colleagues as well as external customers when required.
• Strong regulatory and compliance knowledge
About the role
To assist and work with the Head of Compliance to implement risk assessments, compliance policies and procedures. Undertaking specified checks and controls to ensure that all departments are compliant with the appropriate regulations and procedures.
• Be responsible for and support the Head of Compliance with the implementation of compliance policies and the regulator's rules, establishing adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators. Ensure compliance with related legislation.
• Undertake checks to ensure that core controls are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
• Assist with monitoring of regulatory breaches and manage the resolution of potential and actual incidents to achieve the optimum outcome escalating as appropriate to the Head of Compliance.
• Log receipt of FCA notices and good practice guidance, review to determine applicability and assist in advising procedural amendments required to managers responsible throughout the firm, while ensuring they are implemented.
• In liaison with the Head of Compliance, ensure that any client complaints are reviewed and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls.
• Working with the Head of Compliance, assist in embedding staff awareness and training of compliance policies and procedures.
• Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects.
• Assist in the preparation of regulatory submissions.
• Assist with ad hoc projects, not limited to but including new regulatory guidance, introduction and implementation.
• Provide guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
• Provide regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance. Deputise for the Head of Compliance when required and assist where possible, with any workload bottlenecks and emerging problems through continual reassessment of any changing circumstances, find resolution or escalate to Head of Compliance.
SPONSORSHIP WILL NOT BE PROVIDED
