Compliance Officer

Working for our prestigious client in Reigate, you will be re porting into the Head of Compliance and the key purpose of the role is to carry out planned compliance reviews and assessments, focusing on the delivery of good outcomes and work with the business to address causes of any issues. Job Description: Undertake reviews in accordance with the agreed compliance plan Assessing the effectiveness of key conduct risks and regulatory control processes Assess delivery of intended business and regulatory outcomes Summarise the outcome of assessment to the business executives or management Provide compliance support with respect to any initiatives or development of new products or distribution channels Assist Head of Compliance in developing an annual activity plan Outlining timings and high-level deliverables and deliver the plan in line with set timings Maintain up-to-date awareness of all relevant legislation and market best practices Act as internal ‘technical compliance expert’ within the organisation Establish a sound working relationship with all relevant regulatory bodies (including FCA), SCUK and related group companies Establish and maintain communications with all related regulatory and compliance bodies Support the development of all sales related processes both at point of sales and through any direct or distanced means Identifying value-added and beneficial solutions to ensure a compliant and effective customer experience Person Specification: Compliance experience and knowledge of financial regulation Degree or professional qualification in Finance or Law is desirable but not essential or willingness to work towards a professional qualification. Experience within FCA regulated environment Preferably has experience in delivering a compliance framework Would benefit from having worked in an audit, project management or quality management environment Able to produce working documentation and presentations, including business case proposals and requirements, briefs and presentations Appreciation of legal, regulatory and compliance issues relating to the use of customer Additional Information: Based in Reigate £36,000 - £41,000 Quarterly performance based bonus (Up to 22% of basic salary, average payout of 15%) Eligibility for employee car scheme Company pension scheme 27 days holiday plus option to buy an extra 5 days Option for private healthcare Monday – Friday, 9.00am – 5.00pm Parking We appreciate the time you took to apply for this vacancy, however due to the high level of applications that we receive, we can only respond to successful candidates. In the meantime, please check out our website to read more about our company and privacy policy. Optima Recruitment specialists in Permanent & Temporary Recruitment, including; Administration, Secretarial & PA, Accounts & Finance, Graduate Opportunities, Human Resources, Recruitment Consultancy, Sales & Marketing, Customer Service and Legal. This job was originally posted as www.totaljobs.com/job/89773555