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Compliance Officer

Lokasyon: BATH SPA, SOMERSET Maaş: 50000 - 65000 GBP Per Annum
Sektör: Bankacılık Meslek türü: Sözleşmeli
Çalışma Şekli: N/A Başvurular: 5
Yayınlandı: 3 günler önce Referans numarası: 3274615
My Client are a well regarded and successful Southwest based IFA who offer comprehensive Financial Planning service for clients investment and protection needs.

Their flagship office is based in the heart of Bath and they have a unique opportunity for a senior hire and require a Compliance Officer to join the business and in return they can offer a competitive salary and benefit package.

Purpose of the role

To perform relevant duties in accordance with the requirements set out under SYSC of the FCA Handbook, with responsibility for oversight of the firm's compliance generally and against money laundering and reporting to the firm’s governing body in respect of that responsibility.




General
• Keep up-to-date with relevant legislative and regulatory developments
• Advise senior management in a timely manner of any FCA related and other regulatory issues or changes to the FCA rules.
• Ensure the firm continues to meet its threshold conditions (COND) at all times.
• Produce an annual compliance and MLRO report for senior management.
• Undertake a separate money laundering audit (if appropriate).
• Ensure all staff receive appropriate and relevant AML training on a periodic basis as required.
• Manage the firm’s relationship with the FCA in line with FCA Principle 11
• Ensure the firm’s general policies and procedures are kept up to date.
• Ensure that the firm can respond in a timely basis to requests for information from the FCA.
• Make all appropriate notifications to the FCA (for example, submission of the firms Retail Mediation Activities Return, relevant notifiable changes and any other information relating to the firm of which the FCA would reasonably expect notice).
• Ensure all AML appropriate records are kept (e.g. details of client identification, training, transactions etc.).
Approved Persons
Ensuring that all new Approved Persons receive FCA approval before commencing duties and then reviewed on an annual basis.
Compliance Monitoring
• Ensure that the firm has adopted a risk based approach to compliance monitoring.
• Ensure findings from client file reviews are recorded as part of the firm’s management information and acted on by senior management, where necessary.
Systems and Controls
• Review any delegate activities on an on-going basis to ensure they are undertaken adequately and meet the firm’s needs.
Selling Practices
• Ensure all staff are aware of the FCA’s requirements on selling practices.
• Monitor the review of client files to ensure regulatory requirements are continually being met.
• Undertake client file reviews / monitor performance where any work is outsourced to a third party.
Complaints handling
• Review any complaints against the firm and deal with them in accordance with the FCA’s complaints handling rules (DISP).
• Ensuring that any complaints notifications to the FCA are submitted accurately and in a timely manner.
Financial Promotion
• Ensure that any financial promotions are approved in accordance with the FCA’s rules.
PI
• Ensure adequate and appropriate PI cover is in place at all times and covers the activities undertaken by the firm.
Training and Competence
• Ensure that any new recruits and / or approved persons are subject to proper supervision.
• Ensure that, where applicable, there is a formal ‘sign off’ when competency is achieved.
• Ensure all relevant individuals are subject to on-going supervision and assessment.
• Ensure that a copy of the firm’s T&C procedures is issued to new, relevant staff.
Data Protection
• Assume responsibility for the role of Data Privacy Manager
• Comply at all times with the rules and regulations of the Information Commissioner’s Office and that of the General Data Protection Regulations.
• Ensure all current and new staff are appropriately trained in the firm’s Data Protection policies and procedures








Skills and knowledge

Experience as a Compliance Officer/Manager within IFA environment
Level 4 Financial Planning Diploma qualified
Held CF10 and CF11 functions
Detailed knowledge of the FCA’s rules and guidance.
Detailed knowledge of the FCA anti-money laundering requirements set out under SYSC, the Joint Money Laundering Steering Group (JMLSG) Guidance and the firm’s internal anti-money laundering procedures.



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