Compliance Officer - London, United Kingdom - Artemis Recruitment Consultants Ltd

Artemis Recruitment Consultants Ltd
Artemis Recruitment Consultants Ltd
Verified Company
London, United Kingdom

1 month ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description
Financial Services

London

04/01/2023


Type of Position:
Compliance Officer


Pay:
£50k - £60k


Compliance Officer - London:

We are working with an IFA firm based in London looking for a Compliance Officer to join their team. This is a permanent position with hybrid working available (up to 2 days working from home). You will assist in the provision of high quality compliance governance within a small in-house team.

Reporting to the Head of Compliance, you will play an important role in ensuring compliance with relevant legislation and procedures.

Assisting the operation of effective systems and controls to mitigate business risks and to ensure compliance with the regulatory system.

Helping to maintain a collegiate relationship with both advisers and support staff to foster a positive approach to compliance across the company.

CORE ROLE & RESPONSIBILITIES

  • Assisting the Head of Compliance to implement and review strategic business plans for the Compliance function in order to contribute to the overall compliant operations of the firm
  • Assisting with compliance induction for new staff
  • Providing guidance to advisers, support staff and compliance administrator
  • 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
  • Checking and maintaining records on financial promotions
  • Liaising with Threesixty Compliance Helpdesk as required for any compliance queries which require external support or checks

REPORTING TO THE HEAD OF COMPLIANCE FOR:

  • Complaints investigations and handling
  • Preparation for twiceyearly Threesixty external business risk visits
  • Regulatory returns
  • FCA thematic reviews or adhoc contact with Regulator
  • Mitigation of financial crime and money laundering risks

QUALIFICATIONS AND EDUCATION REQUIREMENTS

  • Level 4 CII Diploma in Regulated Financial Planning or equivalent relevant qualification and/or Certificate in Mortgage Advice and Practice (CeMAP) or equivalent (R01/CF6).
  • 3+ years minimum relevant IFA/DFM Compliance experience, including experience of internal file reviews of new business (including Mortgages) and annual client reviews
  • A good understanding and knowledge of relevant FCA rules
  • A good understanding of compliance requirements for an Article 3 IFA firm
  • A good understanding of other relevant legislation, including that related to financial crime and GDPR
  • IT competent with knowledge of Intelligent Office an advantage.

PREFERRED SKILLS

  • A highly organised, competent individual with a positive attitude and enthusiastic nature. A good base of compliance knowledge obtained within an IFA/DFM environment with understanding and experience of relevant FCA rules and guidance, including conduct of business and SYSC rules.
  • High personal standards to deliver quality compliance. Ability to work as part of a small team with strong organisational skills such as prioritisation and ability to work under pressure and to strict deadlines.
  • Confidentiality is key, thoroughness and attention to detail, effective communication and confidence to question and work with support teams and advisers.
  • Role would suit an analytical and organised individual who is keen to develop their career in Financial Services and has a desire to make compliance a valuable process that protects the company and improves processes.
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