Compliance Officer - Bristol, United Kingdom - Aspira Corporate Solutions

Description

• 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

• 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

• 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.

• 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

• 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

• Monday to Friday

• Performance bonus

• 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?