Senior Compliance Officer (DipFA Qualified) - Farnborough
We are working with a firm based in Farnborough looking for an experienced Compliance Officer to join their team. You will be responsible in assisting the Compliance Director in formatting and implementing compliance policies across the business.
Responsibilities include:
- Audit and monitor front and back-office operational and selling practices in order to provide assurance to the Executive and senior management that our required procedures and processes are being followed and that the required standards of business practice are being met, utilising Industry best practice risk-based methodologies to ensure optimal resource allocation and focus on high-return activities.
- Provide support to the Head of T&C in providing second line supervision as appropriate.
- Maximise risk mitigation across the company by providing proactive identification of regulatory requirements, implementing industry best practice and supporting the ‘Approved Persons’ in ensuring the optimisation of compliant profitable advice.
- Adopt industry best practice and as a result improve the client focused structure and culture within the Company, as well as ensuring regulatory requirements are met as business as usual.
- Identify risks and the implement appropriate business controls, which could result in potential breaches of the regulatory system, material client disadvantage and reputational damage to the Company.
- Implement the Compliance Plan in relation to all aspects concerning Compliance within the Company. Including reporting to senior management including the Board where necessary (and when required, to AEGON UK)
Desired knowledge:
- Expert knowledge of current industry best practice in relation to the regulatory regime and the requirements and guidance issued by the FCA, JMLSG and other appropriate legislative, regulatory, governmental or industry bodies
Desired experience:
- Experience in a compliance role within a FCA-regulated retail environment
If you are interested in applying for this position, then please send a copy of your CV to josie@artemisrecruitment.co.uk
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