Compliance Officer - Poole
We are working with a firm based in Poole, Dorset looking for an experienced Compliance Officer to join their team. You will be responsible for the formatting and implementing of compliance policies across the business.
- Helping ensure the firm meets its obligations under the FCA requirements on senior management responsibilities/systems and controls.
- Helping ensure the firm continues to always meet its threshold conditions.
- Helping ensure that the firm’s business complies with the requirements of the Consumer Duty on an ongoing basis.
- Helping ensure that good consumer outcomes are being delivered within all areas of responsibility.
- Helping ensure appropriate ethical standards always exist within the firm.
- Helping ensure appropriate compliance processes and procedures are in place covering all areas of the firm’s business activities.
- Helping ensure appropriate systems and controls are in place covering all areas of the firm’s business activities and these are reviewed on a regular basis.
- Helping ensure appropriate advice and sales procedures are in place for all business areas and these are followed.
- Helping ensure the firm maintains accurate, detailed, and up to date. compliance records across all areas of the firm’s business activities.
- Helping ensure appropriate advisory procedures are in place and maintained and cover all relevant business areas.
- Providing required management information for the Board, as required
- Level 4 Diploma in Financial Planning would be preferable.
- Mortgage & Equity release qualifications would also be an advantage.
- At least 3 years’ experience in the financial services industry including at least 1 year in a compliance or Training and
- Competence related environment.
- Ideally you will have worked across a full product portfolio typical of a wealth management environment.
- A knowledge of Intelligent Office.
- Able to evidence a broad base of compliance knowledge.
- A “can do” attitude, and a strong work ethic.
- You will enjoy working with others and want to be of service to clients, and each other.
- You have excellent organisational skills with a strong administration background where attention to detail is key.
- Good written & oral communication skills.
- Good planning and project management skills.
- Good numerical skills.
- General IT skills – including Word, Excel, and PowerPoint.
- Ability to compile reports, procedures, and processes.
- Ability to think outside the box when problem-solving is required.
If you are interested in applying for this position, then please submit your CV to firstname.lastname@example.org
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