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:
1. Delegated responsibility for complaints
2. Chairing Senior Management meetings
3. Supporting Investment committee
4. Completion of Financial Resilience surveys
5. Being the first point of contact for compliance queries internally
6. Responsible for co-ordinating compliance file checks
7. Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled
8. Responsible for signing off Compliance Remedial Work completed by advisers
9. Maintaining and updating Compliance records & file checks
10. Responsible for updating compliance plans as and when required
11. Updating FCA register as required
12. Responsible for ensuring staff have signed latest declarations
13. Ensuring that relevant checks are carried out on new advising staff
14. Responsible for ensuring that staff are informed of any new relevant regulation and updating
15. Facilitating compliance file checks and chasing advisers for missing information
16. New starter documentation process
17. Facilitating Annual compliance tests
18. Liaise with visits / audits
Key Skills:
19. At least 3 years Compliance Experience
20. Worked within financial services industry
21. Very well organised
22. Good attention to detail
23. Great IT skills
24. Working towards FCA regulations