Job Ref: 214017784

Date: 2021-06-19 18:00:01

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A pensions Company based inMilton Kyenes are loking for an experienced Complaiance Office to join their team.

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 firm. This is done by ensuring that the risk and compliance framework is operating in a robust and effective manner across all entities.

Key duties will include:-

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 FCA handbook and in particular adherence to the SMCR regime, COBS, SUP, SYSC and CASS

* Identify systems, procedures and control improvements

* Ensure current system and controls are effective and embedded within the firm

* Creating and implementing 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

* Maintaining compliance policies and procedures, systems and controls remain compliant and are regularly reviewed

* Maintain relevant compliance registers, including the breaches register, CASS register, high risk client register, conflicts register, gift register etc.

You msut have Minimum 2 years post qualification experience in a relevant compliance function within a financial services environment

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