Compliance Executive - Harrogate, United Kingdom - Lime People

Lime People

Verified Company

Harrogate, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

My client is a successful Investment Management & Financial Planning firm based in Harrogate, providing sound financial advice to both businesses and individuals across the UK.

We are urgently seeking an experienced Compliance Executive who will assist the Compliance Officer with all aspects of the Group's compliance and risk management processes.

Specifically you will:
Work alongside the Compliance Officer to provide any assistance or information as applicable
Execute and maintain compliance monitoring for the financial planning subsidiary
Pro-actively identify and report any regulatory risks and issues to the Compliance Officer
Compile ongoing Management Information highlighting any areas of concern to the Compliance Officer and providing a monthly update on compliance issues
Carry out ad hoc file reviews to ensure policies and procedures are being adhered to
Assist the Compliance Officer with resolving any regulatory issues that may arise
Draft new and reviewing existing policies and procedures for approval by the Compliance Officer.
Assist with the collation of information for regulatory returns
Ensure they familiarise themselves and abide by the Company's value statement and policy with regard to TCF (Treating Customers Fairly)
Ensure KYC (Know Your Client) and TCF policies and procedures are adhered to
Ensure that they familiarise themselves and abide by company policy on Client Data Security.

Ideally you will have experience working within Compliance within a Financial Planning or Investment Management firm with strong knowledge of Compliance procedures relating to KYC, TCF and also File Reviewing within Investments & Pensions, with 3+ years experience and ideally Level 4 Diploma qualified, any other Compliance qualifications you may have will be to your advantage.

A great salary and benefits package is offered with this role, contact to discus further in detail.

VACANCY DETAILS:

Company:

Financial Services

Location:

Harrogate

Wages:

£40-45k +bens

CLOSING DATE:

May:

30