FCA Audit & Compliance Officer

Farr Associates Recruitment limited; Baildon; Hybrid; GBP 45,000; Full time

Job summary

A recruitment agency is seeking an FCA Audit & Compliance Officer to support compliance oversight in a dynamic role. This position requires a minimum of 2 years' experience in FCA compliance with strong communication and analytical skills. The benefits package includes generous holiday options, pension contributions, private healthcare, and numerous employee discounts. This is a full-time hybrid position based in Baildon, UK.

Benefits

25 days base holiday plus bank holidays

5% pension contribution

Up to 10 additional holiday days

Discounts on products and gym memberships

Free flu vouchers and Christmas voucher

Bonus for referring a friend

Private healthcare with Bupa

Free parking onsite

Qualifications

• FCA background ideally with a minimum of 2 years experience in a compliance audit MI role.
• Excellent communication skills, both written and verbal.
• Strong attention to detail, with the ability to work independently and manage multiple priorities.

Responsibilities

• Monitoring changes to FCA regulations and guidelines.
• Making recommendations to enhance compliance policies.
• Support Compliance Managers in ensuring FCA guideline adherence.
• Manage audits and deliver timely feedback.
• Identify compliance risks and communicate them effectively.
• Conduct due diligence checks.
• Assist in compliance processes and investigations.
• Collate management information for reports.

Skills

Communication skills

Attention to detail

Ability to manage multiple priorities

Job description

FCA Audit & Compliance Officer

12 MONTH FTC

£45,000

Hyrid 3 days office-based Monday to Friday 37.5 hours a week

The Role

We re looking for a FCA Compliance Officer to support the Head of Risk & Compliance in providing oversight and MI Quality Compliance recording with all FCA requirements for their Insurance Dealership suppliers. This is an excellent opportunity for someone with experience in FCA Quality Compliance or MI Compliance related roles who is ready to take the next step in their career.

Responsibilities

• Monitoring & keep up to date with upcoming changes to regulations applicable FCA legislation, codes of practice, industry guidelines and best practices.
• Work to help reduce risk to the business and make recommendations to enhance the compliance and policies currently in place.
• Support the Compliance Distribution Managers to help ensure their dealerships are working within FCA guidelines.
• Managing 12 month & QTR Audits processes.
• Identify situations that may pose significant compliance and conduct risks and ensure the Dealership Manages and Head of Risk & Compliance are informed.
• Audits: Carry out an agreed number of FCA audits, delivering prompt and clear feedback to the managers in a timely manner and maintain accurate records of all completed audits & highlight any training requirements or action needed.
• Fraud: Support the Compliance team to ensure staff are fully aware of fraud and money laundering rules through regular feedback and training and ensure that the AML processes in place are followed.
• Due Diligence: conduct Due diligence checks for the lenders and introducers.
• Assist the DM s day to day compliance processes, such as breach investigations, suspicious activity investigations and reporting to the relevant authorities, lender declines etc.
• Support the Head of Risk & Compliance with collating management information (MI) for the monthly and quarterly reports.

Experience

• FCA background ideally with a minimum of 2 years experience in a compliance audit MI role.
• Excellent communication skills, both written and verbal.
• Strong attention to detail, with the ability to work independently and manage multiple priorities.

Superb Benefits Available: FCA Audit & Compliance Officer

• 25 days base holiday (plus bank holidays) with the option to buy 5 more or carry them over.
• Pension contribution 5% employer.
• Up to 10 additional holiday days on top of your allowance.
• Discounts on products and gym membership discounts through Gym Flex.
• Free flu vouchers in winter, Christmas voucher, and free eye tests every 2 years.
• Cycle to work scheme and a £625 bonus for referring a friend.
• Excellent pension match benefits and private healthcare with Bupa.
• Discounts at local retail outlets and opportunities to win tickets to events.
• Free parking onsite.

Please feel free to contact me directly to discuss the role in more details and the client.

I look forward to reviewing your application.

Lisa

Farr Associates

Recruitment Specialist