Compliance Officer
Location: Rochester, Kent – Hybrid (3 days in office after probation)
Role Overview:
Working with both the Compliance Manager and Complaints Specialist, focussing on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.
Key Responsibilities:
* Breach Management: Log, investigate, and analyse breaches.
* Horizon Scanning: Monitor and report on regulatory changes.
* Financial Promotions: Review marketing materials for compliance.
* Regulatory Reporting: Assist with regulatory requests.
* Policies: Create and review internal policies.
* Management Information: Gather data to demonstrate regulatory adherence.
* Thematic Reviews: Support thematic reviews as needed.
* Complaints Support: Log complaints and prepare files for the Ombudsman.
Skills & Knowledge:
* Must Have:
o 2+ years' compliance experience
o Preferably worked in wealth management/financial planning
o Strong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)
* Desirable:
o ICA or similar compliance qualifications.
o Level 4 Diploma in Financial Planning.