Compliance Officer

Compliance Officer

Salary - Competitive

Full Time, Permanent.

Newark, NG24 1BS

• Have you experience of working within the financial industry or Compliance before?
• Are you a logical thinker and able to work well under pressure?
• Are you organised and have good attention to detail?

If this is you, then we have an exciting opportunity to join an established, respected, and growing company, Fiducia Commercial Network (which is a trading style of The Fiducia Network Ltd).

Fiducia Commercial Network is also part of the Fiducia Group Limited family which is an established financial services group with over 20 years’ experience, and we are looking for a Compliance Administrator to join our expanding Compliance team within an ever-growing industry.

What will you be doing?

As a Compliance Officer, you will support the Compliance team in their role as responsible for the compliance and regulatory requirements. Supporting the Head of Compliance you should ideally have a certificate, or above which is a recognised qualifications through the ICA.  

The key responsibilities are:

• Monitor the firm’s appointed representatives ensuring all relevant regulatory requirements are met through client file checking.
• Ensure the firm’s prospective appointed representatives are effectively and efficiently on-boarded as appointed representatives, including references, statements of honesty and integrity, KYC, and all other relevant documentation to verify the directors of the firm and their employees.
• Complete tasks within the compliance monitoring plan.
• Deal with compliance queries raised by the appointed representatives in a timely manner.
• Maintain the firm’s compliance with Consumer Duty and report any concerns to the Head of Compliance. Feeds data and narrative to the Head of Compliance and ensures these are of high quality and accurate.
• Ensure the fitness and propriety of all Registered Individuals and Approved Persons on an annual basis.
• Notify the FCA of any approved persons performing a new controlled function, ceasing to perform a controlled function or any changes to their personal details.
• Comply at all times with the Compliance Training & Competence Scheme of the firm.
• Comply at all times with the requirements of the Financial Services and Markets Act 2000, and the FCA Principles Code of Practice.
• Ensure adequate and appropriate PII cover is in place.
• Manage and respond to all matters relating to the compliance inbox.

You will use your fantastic verbal and written communication skills to build rapport using your exceptional attention to detail you also need to be able to see a job through to completion whilst juggling a workload.

You will work within a team environment and take responsibility for achieving company goals in your role.

What skills do you need to have?

Other qualities we’re looking for:

• Excellent verbal & written communication skills.
• A structured and independent way of thinking.
• Exceptional attention to detail and able to see a job through to completion.
• Able to work well under pressure.
• Experience of working with internal and external stakeholders.
• Computer literacy especially using Microsoft Excel.
• Excellent time management skills.

INDLS