Job Description
Compliance Officer
* 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.
Required Skills & Qualifications:
* A minimum of 1 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.
Benefits:
* Competitive salary and benefits package.
* Flexible hybrid working arrangement.
* Opportunities for professional growth and development.
* A collaborative and supportive work environment