The successful candidate will be expected to cover the following responsibilities:

  • Design, implementation and and periodic review of all appropriate Compliance procedures
  • Contributes to the production and implementation of the Compliance Monitoring plan
  • Contributes to the risk assessment process to consider the impact on the business of conduct, TCF, operational, financial and regulatory risks on a quarterly basis
  • Monitoring of the client's consultants in accordance with the monitoring programme and pass on any identified development needs to the T and C officer
  • Effectively communicate the complaints and errors and omissions procedure to appropriate staff. Investigation of the same in accordance with FCA guidance and internal procedures. Ensure the appropriate records are correctly maintained.
  • Approval of Financial Promotions and maintenance of the register of the same.
  • Provide guidance of AML and report internally any instances arising
  • Ensure staff awareness of Data Protection and how it impacts on their roles.
  • Conduct Compliance inductions for new staff
  • Assist in Compliance related projects as determined by the needs of the business.

To be considered for the above position the ideal candidate should possess the following skills and qualifications:

  • Proven experience in a field based compliance role
  • Minimum of CII Diploma in Financial Planning (QCF Level 4) or equivalent
  • At least one of the following: R04, J04, J05, AF3
  • R08 and or R02 would be advantegous
  • Developed stakeholder management skills.

In exchange for the above my client is offering the opportunity to join a market leading financial services group with the remuneration to match.