Senior Compliance Consultant - Bath, United Kingdom - EKIM Consulting

EKIM Consulting

Verified Company

Bath, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Reporting to:
Director of Risk & Compliance

Start
:
As soon as available

Remuneration
:
The role can be offered either inside or outside IR35 with a day rate of c.£600 - £750pd.

Anticipated Duties:

Submit and manage the authorisation process (respond to any FCA enquires) with the FCA
Lead on the development of the compliance frameworks required to ensure the business is ready to operate once authorisation granted and engage other resources as required.
Update FCA directory as appropriate.
SM&CR process improvement, management and internal reporting (including Responsibilities map and certificate records).
Finalise and implement competence assessments for identified certified staff
Design and implement compliance operational processes for:
SMCR internal reports, including Responsibilities map and certificate records.
Register and Directory updates
F&P and competence operational oversight (integration with HR records)
SM&CR MI and reporting
FCA reporting
Complete SMCR operations hand over
Lead on SM&CR training and awareness
Non-Standard investment (NSI) compliance and legal support
FOS decision support
Supporting or challenging the 1st line complaints management team to ensure a fair outcome for customers is achieved
Assistance to the Director of Risk & Compliance to support the expertise or capacity of the existing team as needed.

Relevant experience:

Firm authorisation and individual approval (SMF or certified) management including competent user of connect system.

Distressed investment corporate management

Customer outcome focus with awareness of business impact.