Compliance Officer, Stockport 70,000-80,000Type: PermanentReports to: Executive Committee
My client is a hugely well respected and successful Financial Services Partner who is looking for a skilled and qualified Compliance Officer to assist them in their current and ongoing period of growth.
Job Summary:• To ensure the partnership follows the legal and regulatory requirements which pertain to its business.• To remain well informed and up to date with current developments• To understand how any changes in regulatory requirements may affect the operations and business of the partnership• To determine what action must be taken to ensure that the company remains in compliance within these rules and regulations (COBS)• To act as an independent review and evaluation body to ensure that compliance issues/ concerns within the company are being appropriately evaluated, investigated and resolved.• Identify potential areas of compliance vulnerability and risk; and bring these to the attention of the Executive committee and the partners accordingly• Develop and implement corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
The role involves up to date knowledge and guidance on regulatory risk, changes to rules and current practices and providing guidance to the Executive Committee, partners and staff accordingly.Duties:
1. Identify regulatory risk in acco...