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.
Responsibilities
- 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
Qualifications
- Level 4 Diploma in Financial Planning would be preferable.
- Mortgage & Equity release qualifications would also be an advantage.
Experience
- 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.
Skills
- 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 josie@artemisrecruitment.co.uk
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