Product Features
Blog
Contact Us
Sign In
threesixty selection
,
Altrincham, Greater Manchester
Compliance Officer
|
|
Job Type: Full-time |
|---|---|
|
|
Salary: £35,000 per annum |
Overview
Description To support the Head of Risk in ensuring that the firm remains within the scope of the FSMA requirements at all times and to develop the compliance department within the business. There will be the opportunity for this person to manage the day to day running of the Compliance team which includes an Administrator so, we’re looking for someone that would be interested in taking on management responsibilities of the team. Responsibilities Understanding the vision of the business to become a major player in the financial services sector and your own part in ensuring the Company reaches its goals Commitment to developing in your own role and to delivering first class service to clients Value Delivering on the service promises to our fee paying clients in a proactive and ordered manner Contribute to new ideas and new ways of working to ensure we bring greater benefit to our clients Reporting into the Head of Risk, you will be responsible for the day-to-day compliance functions of the firm. Your key responsibilities will focus around the following: Pre and post-sale compliance file reviews in line with the Risk Based Monitoring programme Approval of financial promotions (stationary, website, blogs, presentations etc.) Complaints and compensation calculation handling Organise and implement internal training for all staff in the required regulatory areas to include but not limited to: complaints, anti-money laundering and data protection regulation Communicate and distribute compliance updates throughout the business in an efficient and effective manner Implement, maintain, review and improve the documentation and processes within the compliance function (to include the T&C scheme, disclosure documentation and all regulatory plans) Assist with the completion of the annual compliance audit Project work as and when required Qualifications Essential requirements Diploma in financial planning Desirable Requirements Pass in J07 Chartered Status to include AF6 Experience Experience in a similar role Benefits Up to 40,000 salary 23 days (plus bank holidays) increasing to 25 days 5 years’ service Birthday Day off Flexible holiday system: Buy or Sell up to 5 additional days holiday per calendar year Income Protection Scheme pays a benefit of 75% of an employee’s basic salary, if they have not been able to work due to accident or illness for a period of thirteen weeks or more. DIS 4 times basic salary Pension -5% employer contribution after three-month deferment period. Minimum employee contribution of 3%. We also pay 50% of the NI savings into the scheme. Child Care vouchers Access to discounted PMI Discretionary Bonuses paid following the completion of the annual performance management review. Company subsidised social events once a quarter. Directors buy everyone "chippy" lunch on the first Friday each month. Monthly dress-down days.