Compliance Officer - Ipswich, United Kingdom - Page Personnel

Page Personnel
Page Personnel
Verified Company
Ipswich, United Kingdom

1 week ago

Tom O´Connor

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Tom O´Connor

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Description
Permanent varied and interesting Compliance Officer role in Ipswich

  • Exciting international business for this varied and interesting role

About Our Client:


As a Compliance Officer, you will work under the guidance of a senior compliance professional to foster an engaging and effective compliance culture within the business.

Your responsibilities will include conducting risk-based compliance monitoring, offering advice and guidance on various issues and new products, and ensuring that the business operates in a compliant manner.

This role requires a proactive and solution-oriented mindset, as well as the ability to learn from experienced peers and make an immediate impact.


Compliance Officer Key Accountabilities and Main Responsibilities:

  • Regulatory Change
  • Review and administer externally issued materials, such as client presentations, social media postings, commentaries, website content, and financial promotions, to ensure compliance with relevant regulatory standards.


  • Compliance Monitoring

  • Conduct compliance monitoring reviews, as assigned, in alignment with the annual compliance monitoring programme.


  • Advice

  • Provide realtime compliance advice to business personnel regarding the rules, regulations, and internal policies that govern their activities, including new and existing products and services.
  • Breach and Incident Review
  • Review and provide feedback to the business on breaches and incidents.
  • Regulatory and Industry Development
  • Support the ongoing review and assessment of applicable regulatory and industry developments.


  • Management Information

  • Prepare compliancerelated management information for presentation and dissemination.


  • Compliance Policy

  • Assist in the review, maintenance, and organization of compliance policies.


  • Compliance Training

  • Support the preparation and delivery of scheduled compliance training.


  • Project Support

  • Assist with other compliancerelated projects as assigned by the Head of Compliance.


  • FCA Conduct Rules

  • Comply with the FCA Conduct Rules applicable to all financial services employees.

The Successful Applicant:


Compliance Officer Experience & Personal Attributes:

  • Minimum of 2 years' experience in the fin. services industry compliance.
  • Knowledge of regulatory requirements, particularly those of the Financial Conduct Authority (FCA) or other relevant regulators.
  • Excellent verbal, written, and interpersonal communication skills.
  • Strong attention to detail, organisational skills, and the ability to engage with employees at all levels.
  • Capability to build and maintain solid working relationships.
  • Proficiency in report writing and time management.
  • Good computer literacy with knowledge of Microsoft Word and Excel.

Desired Qualifications:

  • Industry certification or ongoing education in Financial Services Industry compliance is preferred, or a willingness to pursue further studies.
  • Degreelevel education or similar relevant qualifications

What's on Offer:

Great flexible benefits and working from the Ipswich location
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