OVERALL OBJECTIVE OF ROLE
The primary role of the Compliance Officer is to assist the Head of Risk & Compliance, the Senior Management Team and the business to protect the assets, reputation and sustainability of the financial services firm. This is done by ensuring that the risk and compliance framework is operating in a robust and effective manner across all entities of the business.
KEY RESPONSIBILITIES
• Work with the Risk and Compliance team in developing and promoting a strong risk and compliance culture within the business
• Provide assistance and guidance on compliance related queries from the firm
• Assist in the development of the Compliance Monitoring Programme
• Reporting to the management structure about the firm's compliance with the regulations and rules that apply to a firm as set out in the Financial Conduct Authority handbook and in particular adherence to the SMCR regime, COBS, SUP, SYSC and CASS
• Identify systems, procedures and control improvements
• Create and implement plans to meet conduct risk and regulatory requirements and continue to drive through change to ensure the business remains compliant with its regulatory obligations and has a culture of fair consumer outcomes and treatment of customers
• Maintain relevant compliance registers, including the breaches register, CASS register, high risk client register, conflicts register and gift register etc. • Undertake files reviews as instructed by the Head of Risk and Compliance and liaise to
• Undertake files reviews as instructed by the Head of Risk and Compliance and liaise to address any issues identified
• Produce compliance related management information as required for monthly and quarterly board reporting
• To have an awareness of anti-money laundering regulations affecting firms in relation to client due diligence (CDD) and review and analyse these documents to ensure they are compliant
• Assist the Group Internal Auditor Manager to obtain and collate information required to conduct assurance reviews
• Assist the Group Internal Auditor Manager to liaise with internal stakeholders for the performance of audit reviews as required
KEY COMPETENCIES
Personal Skills:
• Strong communication skills, both written and verbal
• Critical thinking, the ability to think objectively and demonstrate sound judgement
• Analytical thinking and attention to detail
• Strong ethical standards and high levels of integrity
• Good report writing skills
Experience:
Working within a compliant or financial services environment preferred
Technical Expertise:
• Data management
• Regulatory framework
• Compliance knowledge
• Development of policies, procedures and controls
Working hours - Monday to Friday 9am- 5pm or 8am - 4pm with 1 hour for lunch
