Compliance Officer - Bristol, United Kingdom - Aspira Corporate Solutions
2 weeks ago
Description
Job Overview:
Snapshot of responsibilities:
- Assisting the Compliance Director to implement and review strategic business plans for the Compliance function to contribute to the overall compliant operations of the firm
- Assisting with compliance induction for new staff
- Providing guidance and support to advisers and support staff
- Providing feedback to advisers and support teams on new business and ongoing review file checks and ensuring any remedial action required is completed
- Providing support in monitoring effective systems and controls to counter money laundering or financial crime risks
- Maintaining accurate, up to date and detailed compliance records and registers
- Updating policies and procedures as and when required
- Contribute to the effectiveness of the Group through delivering coaching and training sessions as required.
- Liaising with Simply Biz as required for any compliance queries which require external support or checks
- Preparing governance packs/ board packs as required
- Assisting in MI preparance
- Assisting in T & D support
Qualifications:
- Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification
- 3+ years minimum relevant IFA Compliance experience, including experience of internal file reviews of new business and annual client reviews, complaints handling
- Experience of T&C / Complaints & working within SM&CR would be an advantage
Critical skills:
- IT competent with knowledge of Intelligent Office an advantage.
- Excellent standard of written and verbal communication
- Good decisionmaking skills
- Analytical mind and excellent attention to detail
- Excellent time management skills with an ability to work to deadlines
- Ability to coach and provide feedback.
Critical knowledge:
- A good understanding and knowledge of relevant FCA rules
- A good understanding of complaints procedures
- A good understanding of other relevant legislation, including that related to financial crime and GDPR
- A good understanding of updating policies and procedures
- A good understanding of Training & Competency
Job Types:
Full-time, Permanent
Salary:
£40,000.00-£49,500.00 per year
Benefits:
- Childcare
- Company pension
- Cycle to work scheme
- Enhanced maternity leave
- Enhanced paternity leave
- Health & wellbeing programme
- Life insurance
- Private medical insurance
- Sick pay
- Work from home
Schedule:
- Monday to Friday
Supplemental pay types:
- Performance bonus
Application question(s):
- Do you have 3+ years minimum relevant IFA Compliance experience, including experience of internal file reviews of new business and annual client reviews, complaints handling?
- Do you have a Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification?
Work Location:
Hybrid remote in East Wing 3 Temple Quay Temple Back East Bristol, BS1 6DZ
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