The role provides support to the Compliance Officer in all aspects of Compliance. Supporting and advising employees, Appointed Representative and Associate Companies regarding the Group's Compliance activities, policies, processes and procedures
* Day to day operations of the Compliance Department.
* Monthly systems and control reports.
* Maintaining TOBA lists.
* Management of regulatory requirements of the company and its Appointed Representatives/Sponsorship companies including setting up, monitoring, maintaining adequate and appropriate systems and controls to ensure regulatory compliance.
* Review and implement regulatory changes and provide training to the business as required.
* Overseeing the company's compliance plan to ensure it is managed in accordance with the company's objectives.
* Providing advice and as necessary management of any parts of the FCA Compliance Plan and preparing reports as required.
* Providing advice to staff, training and support as necessary to ensure adherence with the company's Compliance Procedures Manual.
* Internal files audits in accordance with company's Internal Files Audit Plan.
* Compiling regulatory returns for CSP and all sponsorship companies and ensuring they are submitted within set timescales.
* The Setup of compliance processes and training for all new Appointed Representatives/Sponsorship companies.
* Maintenance of the companies Compliance Manual to ensure it is meeting its regulatory obligations.
* Advice & guidance on SMCR and IDD processes and procedures.
* Broker Assess - assignment of learning activities and other related duties to help to ensure the minimum required CPD hours are carried out by staff.
Bank or payment details should never be provided when applying for a job. For information on how to stay safe in your job search, visit SAFERjobs.Report this job
"Office Assistant jobs in London"
'Saved search name'