Back to search
- Location: Kent
- Job Type: Full-time, Hybrid
We are currently representing a prestigious pensions and wealth advisory company that is seeking a Compliance Officer to enhance their team. This role is integral to ensuring the company maintains its compliance with regulatory standards and fosters a client-focused culture. The successful candidate will report directly to the Compliance Manager and will be instrumental in supporting the company's compliance functions.
Day-to-day Responsibilities:- Data Protection: Handling Data Subject Access Requests efficiently.
- Breach Management: Logging and investigating breaches, including conducting thorough root cause analysis.
- Horizon Scanning: Keeping abreast of regulatory changes that could impact the business and reporting these findings.
- Financial Crime: Conducting KYC due diligence and investigating referrals from within the business.
- Financial Promotions: Ensuring all marketing materials comply with regulatory standards.
- Regulatory Reporting: Assisting in compiling reports and responding to regulators.
- Culture: Educating staff on the importance of compliance and client outcomes.
- Policies: Developing and revising internal policies to align with current regulations.
- Management Information: Gathering data to demonstrate compliance with regulations and focus on client outcomes.
- Thematic Reviews: Participating in the Thematic Review program.
- Senior Managers and Certification Regime: Managing administrative and certification processes.
- Complaints Support: Assisting with the logging of complaints and preparation for the Financial Ombudsman Service.
- A minimum of 2 years’ experience in a Compliance role within the Wealth Management/Financial Planning sector.
- In-depth knowledge of FCA regulations.
- Exceptional communication skills, capable of managing stakeholder relationships.
- A pragmatic approach to the application of regulations.
- Strong investigative and decision-making skills.
- High level of accuracy and attention to detail.
- Analytical and problem-solving abilities.
- Self-motivated with excellent organizational and time management skills.
- Ability to simplify complex regulatory language for various audiences.
- Competitive salary and benefits package.
- Flexible hybrid working arrangement.
- Opportunities for professional growth and development.
- A collaborative and supportive work environment.
