Compliance Officer

Job Description

Opportunity to join an established and leading firm within the Investment and Wealth Management sector as they look to add a Compliance officer to their Compliance function located in central Leeds.

The successful candidate will assist the Compliance Manager in meeting the team's objectives, ensuring the firm fulfils the Financial Conduct Authority's requirements and meets the rules of the Financial Services and Markets Act.

The business operates a very flexible hybrid working policy and alongside the base salary, the role offers an excellent annual bonus and other financial and non-financial benefits.

Role responsibilities:

Monitor business risks in accordance with regulatory requirements and internal procedures, both desk and field based.

Complete tasks in accordance with the Compliance Plan as set out in line with FCA and strategic business objectives.

Review and monitor customer complaints where required, complete MI, contribute to Root Cause Analysis, and to submit regulatory reports.

Monitor and review specific managed portfolio issues and assessment of suitability.

Respond to daily queries via the Compliance inbox and KYC reviews.

To review financial promotions prior to publication and make recommendations as necessary to meet regulatory guidance, as required.

Monitor Training & Competence (T&C) arrangements throughout Head Office and Branches.

Carry out any other duties as requested by the Head of Regulation or Monitoring Manager, and to support and deputise for colleagues in the department.

To ensure that all reports of regulatory breaches are evaluated and recorded and agree follow up actions required with the Head of Regulation.

To report any risks which may be detrimental to clients or to the firm's reputation.

Personal Attributes & Experience:

Ideally educated to a degree level or equivalent standard. FSI or equivalent (level 3 or 4) is desirable but not essential as overall experience will be considered.

Experience within Compliance ideally gained within Wealth Management, Stockbroking, or Investments.

Training & Competence knowledge

Minimum of 1 year's compliance, or 3 years administration experience within financial services or a similar regulated industry.

Knowledge of FCA regulations

Knowledge of Microsoft Office Applications (Intermediate level).

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.