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SalarySenior Compliance Officer - London
***Candidates must have exstensive compliance experience with a financial services practice i.e. IFA / Wealth Management Practice***
Our client is an award-winning financial services provider based in The City, specialising in areas such as HNW Mortgages, Wealth Management, General Insurance, Life Insurance, Short Term Lending, Commercial Finance and Asset Finance.
As Senior Compliance Officer, you will work closely with the Head of Compliance, playing an integral role, ensuring that the business maintains systems and control to prevent the business from breaching FCA regulations.
We are looking for a Compliance Officer who has a bias toward wealth management and insurance (life and general insurances), rather than mortgages. The successful individual will be "pro business", providing robust compliance but also giving internal stakeholders the tools to thrive.
Responsibilities include:
- Oversee regular file checks and reviews to ensure targets achieved
- Investigate compliance issues raised from compliance reviews
- Communicate new regulation
- Review and approve AML exceptions and logging them
- Compliance on file reviews
- Identifying policy and process risk
- Communicating changes to the sales teams
- Monitor New Business Register (new starters and types of business)
- Report any Compliance risk to Senior Managers
- Reporting FCA conduct rules/Regulation breaches, logging them
- Attend Compliance team meetings
- Working with Sales and T&C Manager to improve file grades
- Supporting Management on ADHOC compliance projects
Skills required:
- Must have at least 4 years compliance experience within financial services, ideally with proven experience within wealth management and insurance products.
- Must have demonstrable Compliance experience in financial services.
- Must be able to demonstrate a collaborative and values led approach
- Personable and engaging personality
- Teamwork within a team and the ability to work as an individual
On offer:
£50 - 80k Basic Salary + Bonus + Benefits (Dependent on experience)
