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NJR Recruitment
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Altrincham, Greater Manchester
Compliance Officer
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Salary: From £35,000 to £40,000 per annum |
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Overview
Compliance Officer Location: Altrincham Salary: £35,000 - £40,000 NJR Recruitment are working in Partnership with an Award-Winning firm of Chartered Financial Planners who are now looking to recruit a Compliance Office to join their team. Working from the Altrincham based office the successful Candidate will be supporting the Head of Paraplanning / Risk by ensuring that the firm remains within the scope of the FSMA requirements at all times and to develop the compliance department within the business. Responsibilities 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 The successful candidate will be fully Diploma qualified with a strong understanding of Pensions & Investment products. Those applying will need to have previous experience working within a compliance-based environment with understanding of the FCA regulatory requirements and risk profiles. Those who have also managed / supervised others are of benefit as the incumbent will be responsible for managing an Administrator upon successful completion of probationary period. For further information please contact one of our specialist consultants quoting REF:NJR10076 This job was originally posted as www.totaljobs.com/job/89667710