Compliance Officer

Posted 9 April by Pure Resourcing Solutions
Easy Apply
£30.00 - £35.00 per hour
Broomfield , Essex
Permanent, full-time

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Posted by Pure Resourcing Solutions
Pure are pleased to be working with our client within the financial services industry, who are looking to recruit for a Compliance Officer on a part time basis.

Main Dutes:
  • Delegated responsibility for complaints
  • Chairing Senior Management meetings
  • Supporting Investment committee
  • Completion of Financial Resilience surveys
  • Being the first point of contact for compliance queries internally
  • Responsible for co-ordinating compliance file checks 
  • Ensure the existing and new business processes and documentation meet current regulation and are fully version-controlled 
  • Responsible for signing off Compliance Remedial Work completed by advisers
  • Maintaining and updating Compliance records & file checks
  • Responsible for updating compliance plans as and when required
  • Updating FCA register as required
  • Responsible for ensuring staff have signed latest declarations
  • 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   
  • Facilitating compliance file checks and chasing advisers for missing information
  • New starter documentation process
  • Facilitating Annual compliance tests
  • Liaise with visits / audits
Key Skills:
  • At least 3 years Compliance Experience 
  • Worked within financial services industry 
  • Very well organised
  • Good attention to detail
  • Great IT skills
  • Working towards FCA regulations 

Reference: 52316805

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