Excellent opportunity for a Compliance Officer.
The role will include providing compliance support to the firm’s Head of Compliance in respect of monitoring and reviews. To succeed in this role, you’ll need an ability to learn quickly combined with attention to detail and be able to realistically and effectively assess the risk posed by issues identified.
The ideal candidate would be a recent law graduate, and/or have relevant experience in financial services regulation and understanding of FCA regulatory regime and handbooks. You should be able to work independently or as part of the team and take a proactive and diligent approach to the compliance of the business.
Duties and Key Responsibilities
- Undertake Compliance Monitoring reviews of the first line of defence to provide assurance of key control effectiveness and adherence to group policies, procedures and relevant FCA regulations.
- Undertake reviews of financial promotions to ensure that adhere to FCA regulations, specifically the COBS handbook.
- Assist the Head of Compliance in the ongoing development of the risk and compliance plan; providing ideas and undertaking research of key topics.
- To continually identify areas of emerging risk ensuring that these are incorporated into the risk and compliance plan.
- To proactively manage own workload ensuring the objectives of the risk and compliance plan are delivered in a timely manner.
- To maintain up to date knowledge of regulatory requirements and business.
- To assist the Head of Compliance with any reasonable requests to discharge compliance duties.
- Knowledge and experience of FCA regulatory frameworks
- Specific knowledge of investment products is an advantage.
- Financial Services background
- Experience in a regulated background
Please upload your CV by clicking on the APPLY NOW button below.