Compliance Officer

Recruitment Solutions (Folkestone) Ltd; Warrington; On-site; GBP 30,000 - 50,000; Full time

Job summary

A leading financial planning practice is seeking a Compliance Officer to develop and monitor compliance frameworks. The ideal candidate will possess a Level 4 CII Diploma and significant experience in an FCA regulated environment. You'll be responsible for ensuring adherence to regulations, conducting audits, and fostering a compliance culture within the organization.

Benefits

Comprehensive benefits package

Negotiable salary based on experience

Qualifications

• Proven experience as a Compliance Officer in an FCA regulated environment.
• Understanding of FCA regulatory frameworks and compliance requirements.
• Working towards or holding a relevant qualification.

Responsibilities

• Develop and implement compliance policies and procedures.
• Conduct thorough file checks and provide feedback.
• Conduct regular audits and address compliance vulnerabilities.

Skills

Compliance

File Checker

Financial Planning

Education

Level 4 CII Diploma in Regulated Financial Planning

Job description

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Ref: RP6053 Salary: £30,000 to 50,000 Contract Type: Permanent Location: Warrington

Compliance Officer

Ref: RP6053 Salary: £30,000 to 50,000 Contract Type: Permanent Location: Warrington

Skill Set

Compliance, File Checker, Compliance Officer, Financial Planning

A highly successful and award-winning chartered financial planning practice is looking for a Compliance Officer / File Checker to join its team.

Reporting to the Compliance Director, the role holder will be instrumental in developing, implementing, and monitoring effective compliance frameworks and policies across the company.

A highly competitive package is on offer with a comprehensive benefits package. Negotiable. Happy to discuss upon application; based on level of seniority and experience.

Compliance Officer responsibilities:

1. Support the Compliance Director to develop and implement comprehensive compliance policies and procedures throughout the organisation such as T&C, advice framework, scanning, etc.
2. Complete thorough file checks of advice cases to ensure adherence to both internal standards and regulatory requirements, providing constructive feedback relating to areas of improvement.
3. Conduct regular audits and risk assessments to identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolutions.
4. Provide advice and guidance on the interpretation of regulatory requirements and their implications for business operations.
5. Keep abreast of, interpret, and communicate changes in FCA regulations to relevant departments, ensuring that all policies and procedures are updated accordingly.
6. Conduct compliance training sessions for employees to ensure company-wide awareness and understanding of compliance policies and regulatory requirements.
7. Manage and report on the handling of complaints in accordance with FCA guidelines, ensuring effective resolutions.
8. Support the Compliance Director in their capacity as the main point of contact with the FCA and other regulatory bodies, managing all communications and reporting requirements.
9. Act as liaison and maintain effective relationships with external third-party compliance support services.
10. Foster a compliance culture within the organisation and contribute to strategic planning from a regulatory perspective.

The successful Compliance Officer will have:

1. Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification, or working towards this.
2. Proven experience as a Compliance Officer or similar role within an FCA regulated financial advice business.
3. Thorough understanding of FCA regulatory frameworks and compliance requirements.