Pure are pleased to be working with our client within the financial services industry, who are looking to recruit for a Compliance Officer on a part time basis.
Main Dutes:
* Delegated responsibility for complaints
* Chairing Senior Management meetings
* Supporting Investment committee
* Completion of Financial Resilience surveys
* Being the first point of contact for compliance queries internally
* Responsible for co-ordinating compliance file checks
* Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled
* Responsible for signing off Compliance Remedial Work completed by advisers
* Maintaining and updating Compliance records & file checks
* Responsible for updating compliance plans as and when required
* Updating FCA register as required
* Responsible for ensuring staff have signed latest declarations
* Ensuring that relevant checks are carried out on new advising staff
* Responsible for ensuring that staff are informed of any new relevant regulation and updating
* Facilitating compliance file checks and chasing advisers for missing information
* New starter documentation process
* Facilitating Annual compliance tests
* Liaise with visits / audits
Key Skills:
* At least 3 years Compliance Experience
* Worked within financial services industry
* Very well organised
* Good attention to detail
* Great IT skills
* Working towards FCA regulations
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