Address
Form of work
SalaryMain 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
- 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
