Our client is a well established and continuouslygrowing Financial Services business who is currently looking for an experiencedCompliance Coordinator / Compliance Officer to work alongside ouroperations/sales manager. The ideal candidate will be comfortable in anautonomous role, have taken responsibility for Compliance in a similarenvironment and should have excellent communication, IT and organisationalskills along with the ability to work to deadlines and have excellent attentionto detail.
You will take responsibilityfor providing compliance and risk advice across the business and manage FCArelated processes, procedures and controls.
Your role will be to support the compliancefunction with legal and regulatory requirements, conduct regular reviews ofcompliance policies and procedures and ensure both current and future activityis customer focused and complies with its regulatory obligations.
Take an instrumental role in ensuring companycompliance in all aspects of GDPR
Conduct regular internal reviews and audits toensure compliance procedures are followed.
Identify compliance matters and makerecommendations to the Operations Manager
Review compliance policies and procedures on aregular basis and update and roll out effectively where necessary.
Maintain documentation of compliance activitiessuch as complaints received or investigation outcomes.
Conduct risk assessments and maintain register.
Assist with quality checks on staff and ensure anyissues are reported immediately.
Monitor compliance systems in place and ensureeffectiveness.
Assist with complaints handling and ensuring timelyresponses are issued.
Keep informed regarding pending industry changes,trends, and best practices and assess the potential impact of these changes onorganisational processes.
Design or implement improvements in communication,monitoring, or enforcement of compliance standards.
Provide assistance to internal/external auditors.
Review consumer communications to ensure compliancewith regulatory requirements
Attend any meetings/training sessions as requestedby Senior Management
Strong knowledge of FCA rules and supporting FCAdocumentation, Data Protection Legislation and the Financial Ombudsman Service.
Previous experience working in a compliance rolewithin an FCA regulated background.
The ability to demonstrate flexibility in an everchanging and improving environment, coupled with a positive attitude and a highstandard of self-conduct.
The ability to provide support and guidance on allcompliance matters.
The ability to work well under pressure and deliverto strict deadlines
Effective communication skills both oral andwritten.
Experience of producing management reports andanalysing data.
Being an excellent team player with the ability towork on own initiative.
Proficiency in Microsoft Office including Word,Excel, Powerpoint and Microsoft Outlook.
Excellent attention to detail.
Pleaseapply to Square Peg Associates for immediate consideration or contact Jenniferon 01706 523079.
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