Compliance Officer

Location Salisbury
Discipline: Office Professionals , Financial Services
Job type: Permanent
Salary: £DOE
Contact name: Liam McConnell

Contact email:
Job ref: REF: 6634
Published: about 1 month ago
Expiry date: 16 April 2021

An exciting new role has been created due to company expansion and is now available for a technically astute Compliance Assistant to play a support role to a Head of Department at our client's offices based in Salisbury.

The primary focus of the role will see you field technical questions and ensuring systems, processes and business take-on and ongoing review meets regulatory requirements and company standards

We are looking for a candidate who has experience of working within a Wealth Management/IFA practice.

Some other key responsibilities will include:

  • To work in conjunction with the Head of department to both review and implement compliant processes

  • Ongoing adherence to the policies contained in the Compliance Manual

  • Provide support to the business by acting as a referral point for technical and compliance queries

  • Take on specific tasks and projects where a technical or compliance background is required

  • Take ownership of ongoing personal development

  • Comply with documented departmental policies and procedures and encourage others to do so

  • Assist, where required, in determining training needs with regards to both new and existing regulatory (FCA and HMRC) requirements

  • Assist the management team in providing training, development and coaching to team members.

  • Contribute to process reviews, constantly seeking ways to streamline and improve

  • Maintain good business relationships with internal and external customers

  • Assist in the regulatory oversight of outsource partners

  • Achieve and maintain competence as required by the Company’s Training and Competence Scheme.

  • Participate in reviewing proposed new business relationships and participate in the approval process

  • To ensure that our client's customers are treated fairly and receive a consistent service

  • Act as a reference point to Operations for due diligence on historic business and ensure appropriate records are maintained

When it comes to any Compliance role we look for the 'six essential skills' in order to perform to a high standard. With this role as it's a new position we are also looking for at least two years prior experience of working in a Compliance capacity within a FCA regulated environment.

  • Ability to interpret

  • Attention to detail

  • Attention to the big picture

  • Ability to apply rules to facts

  • Risk assessment capabilities

  • Communication skills

This is a full time role, working within a growing enterprise whereby you have the opportunity to work closely with a Senior Leadership team.

For further information please contact Liam for more details.