Compliance Specialist

Location Salisbury
Discipline: Financial Services, Executive Recruitment
Job type: Permanent
Salary: ££40k (c)
Contact name: Liam McConnell

Contact email:
Job ref: REF: 6669
Published: about 2 months ago
Expiry date: 28 May 2021

We are looking to recruit an experienced Compliance Officer to join our client's business who are expanding their Compliance division due to business growth.

The primary focus of the role will be:: To identify opportunities and develop various compliance procedures that could positively impact the business moving forward.

​In this role you will work closely with a Head of Technical and be encouraged to drive change, make suggestions to the Senior team, field technical questions and ensuring systems, processes and business take-on and ongoing review meets regulatory requirements and company standards

It is essential that you can demonstrate a that you have a broad range of compliance experience within a Financial Services arena and also be someone who is familiar with the FCA Handbook. Be familiar with Money laundering, Fraud Protection, Privacy Policies.

About you - We also want to ensure the right candidate can demonstrate a proactive approach when it comes to shaping Compliance processes by upholding a professional, positive outlook whilst maintaining a willingness and enthusiasm for the role.

Some key responsibilities of the role will include:

  • To work in conjunction with the Head of Technical division 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

  • 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

  • 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

  • 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

When it comes to any Compliance role we look for the 'six essential skills' in order to perform to a high standard.

  • Ability to interpret

  • Attention to detail

  • Attention to the big picture

  • Ability to apply rules to facts

  • Risk assessment capabilities

  • Communication skills

As this role is a new position we are require at least three years experience working within g a FCA regulated compliance role.

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.