Job Description
Opportunity to join an established and leading firm within the Investment and Wealth Management sector as they look to add a Compliance officer to their Compliance function located in central Leeds.
The successful candidate will assist the Compliance Manager in meeting the team's objectives, ensuring the firm fulfils the Financial Conduct Authority's requirements and meets the rules of the Financial Services and Markets Act.
The business operates a very flexible hybrid working policy and alongside the base salary, the role offers an excellent annual bonus and other financial and non-financial benefits.
Role responsibilities:
Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based.
Complete tasks in accordance with the Compliance Plan as set out in line with FCA and strategic business objectives.
Review and monitor customer complaints where required, complete MI, contribute to Root Cause Analysis, and to submit regulatory reports.
Monitor and review specific managed portfolio issues and assessment of suitability.
Respond to daily queries via the Compliance inbox and KYC reviews.
To review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance, as required.
Monitor Training & Competence (T&C) arrangements throughout Head Office a...