Compliance Monitoring Office, Essex

Overall responsibility (SMF16) for the day-to-day compliance of the business under the guidance of Simplybiz - including responsibility for implementation of Consumer Duty and maintenance of Senior Management and Certification Regime.

Compliance Monitoring Officer

Part Time (16-25 Hours per week)
Office Based, with Hybrid Option Available
Chelmsford
Salary £70,000 Pro Rata + Benefits.

General Overview

• Delegated responsibility for complaints
• Chairing Senior Management meetings
• Supporting Investment committee
• Completion of Financial Resilience surveys
• Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled.
• Point of contact for compliance queries internally
• Responsible for co-ordinating compliance file checks with Simplybiz and Financial Advisers
• Responsible for signing off Compliance Remedial Work completed by advisers.
• Undertaking Fact Find and Adviser Observations
• Responsible for undertaking adviser KPIs and Development plans and ensure CPD / SPS is up-to-date.
• Maintaining and updating Compliance records
• Responsible for updating compliance plans as and when required.
• Responsible for updating FCA register as required.
• Responsible for ensuring staff have signed latest declarations.
• Ensuring compliance of advertising and promotions
• Ensuring that relevant checks are carried out on new advising staff.
• Responsible for ensuring that staff are informed of any new relevant regulation and updating staff in monthly team meetings.
• Facilitating compliance file checks and chasing advisers for missing information
• New starter documentation process
• Facilitating Annual compliance tests
• Liaise with Simplybiz on bi-annual visits / audits.
• Responsible for assisting Finance Director on Gabriel returns.
• 3rd party checks and introducer agreements

Benefits

• Workplace Pension
• Discretionary Company Bonus of £100 per month
• 22 days holiday + bank holiday + "free" holiday between Christmas and new Year
• Free parking
• Beautiful grounds and gardens which staff can use for lunches etc
• Typically free lunch once a week on a Wednesday