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Compliance Officer

  • Salary: £28000 - £35000 per annum
  • Location: Hampshire
  • Sector: Compliance
  • Job type: Permanent
  • Date posted:
    28 Nov 2017
  • Job reference: 30008

An exciting opportunity to ensure that the wealth management business meets with regulatory requirements.

You must have previous experience working within financial services preferably in compliance or advisory sectors, hold a Level 4 Diploma qualification or similar.

Knowledge of FCA and insurance regulation as well as pension and investment business is essential and experience of treating customers fairly (TCF).

Main responsibilities:

  • Regulatory file checking - pre and post sale approval
  • Encourage a positive compliance culture within the business through effective communications (verbal and written) with management and staff
  • Assist the Head of Compliance with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators and authorities. Ensure compliance with related legislation, such as data protection, anti-money laundering regulations and Bribery Act
  • Maintain close contact with management, discussing any compliance breaches, remedial action and providing advice as required in order to promote a culture of compliance and to identify the optimum course of action in all cases
  • Monitor outside developments in the wider financial services sector and the compliance industry (a) to maintain and up to date knowledge and awareness of relevant issues and future trends and (b) to contribute to the wider holistic management of the business
  • Engage proactively with the team to ensure timely and effective remedial action in response to the outcome of monitoring activity
  • Support the Head of Compliance in contributing to the continuous improvement and development of the monitoring function
  • Attend, as required, relevant workshops/meetings to maintain awareness of regulatory changes in compliance monitoring and risk management techniques

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.

Our clients include: