Compliance Officer

Location
Portsmouth
Salary
Up to £35000.00 per annum
Posted
10 Jul 2018
Closes
07 Aug 2018
Ref
3354324
Contact
Mark Jordan
Employer Sector
Financial Services
Contract Type
Permanent
Hours
Full Time
Travel
0-25% Travel


Compliance Officer - Financial Planning - Nr Portsmouth - c£35k - Investments and Pensions


Your new company
This is a fantastic opportunity to join a leading Financial Planning business based on the South Coast as a Compliance Officer.

Your new role
Is to ensure that the business meets with the regulatory requirements placed upon it by all of the appropriate regulators/authorities and legislation across the business. You will provide assistance to senior management in promoting a professional, positive and efficient compliance ethos within the Compliance Department and assist with regulatory compliance queries and other tasks pertinent to the department's objectives of ensuring good customer outcomes at all times.
Main duties include:
* Regulatory File Checking - Pre & Post sale Approval
* Be a point of contact for compliance related queries.
* Establish key business internal and external relationships to ensure best practice.
* Encourage a positive compliance culture within the business through effective communications (verbal and written) with management and staff.
* Assist with the implementation of compliance policy and establishment of adequate in-house controls and compliance procedures, thereby assuring continued authorisation by the regulators and authorities. Ensure compliance with related legislation, such as Data Protection, Anti-money Laundering Regulations and Bribery Act. * Maintain close contact with Management, discussing any compliance breaches, remedial action and providing advice as required in order to promote a culture of compliance and to identify the optimum course of action in all cases.
* Monitor outside developments in the wider financial services sector and the compliance industry (a) to maintain an up to date knowledge and awareness of relevant issues and future trends and (b) to contribute to the wider holistic management of the business.

What you'll need to succeed
You will be an accomplished Compliance Officer with strong knowledge and understanding of Investments and Pensions products with practical experience in Pre / Post sales compliance file review/checks. You will ideally have a Level 4 diploma in Financial Planning or be willing to work towards this. You will have strong communication both written and verbal with the ability to build working relationships and provide constructive challenge with experienced advisers.

What you'll get in return
A salary of c£35,000 dependant on experience + company benefits and free parking.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk

Apply for Compliance Officer

Already uploaded your CV? Sign in to apply instantly

Apply

Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB


4000 characters left

Marketing Communication

We'd love to send you information about Jobs and Services from CareersinCompliance by email.

All emails will contain a link in the footer to enable you to unsubscribe at any time.


When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on CareersinCompliance you agree to our terms and conditions and privacy policy. You should never be required to provide bank account details. If you are, please email us.

Similar jobs

Similar jobs