Job Ref: 213889457

Date: 2021-06-03 10:59:37

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OVERALL OBJECTIVE OF ROLE

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 of the business.

KEY RESPONSIBILITES

• 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.

• Undertake files reviews as instructed by the Head of Risk and Compliance and liaise to address any issues identified

• Produce compliance related management information as required for monthly and quarterly board reporting

• To have an awareness of anti-money laundering regulations affecting firms in relation to client due diligence (CDD) and review and analyse these documents to ensure they are compliant

• Assist the Group Internal Auditor Manager to obtain and collate information required to conduct assurance reviews

• Assist the Group Internal Auditor Manager to liaise with internal stakeholders for the performance of audit reviews as required

• Ensuring the production of suitable data sets required to enable and inform the FCA reporting regime

• Assist with the submission of the regular reports required by the FCA reporting regime

• Provide support and assistance to any ad hoc compliance projects as appropriate.

• Produce and monitor essential compliance training for employees

• Assist in horizon scanning and reporting on regulatory and legislative matters, 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

KEY COMPETENCIES

Personal Skills:

• Strong communication skills, both written and verbal

• Critical thinking, the ability to think objectively and demonstrate sound judgement

• The ability to work with independence as well as part of a team

• Analytical thinking and attention to detail

• Strong ethical standards and high levels of integrity

• Good report writing skills

QUALIFICATIONS: Higher Education

EXPERIENCE: Minimum 2 years post qualification experience in a relevant compliance function, preferably within a financial services environment

Technical Expertise:

• Risk management

• Data management

• Regulatory framework

• Compliance knowledge

• Development of policies, procedures and controls

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