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Compliance Officer

Date posted: 05 Apr, 2018
Ref:
Industry: Compliance
Salary: £24000 - £26000
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a small Financial Services provider based in Birmingham City Centre. Due to the continued success of the business and subsequent growth of the Compliance function they have created a new role for a Compliance Officer.

Reporting the the Head of Compliance you key responsibilities will include;
  • Provide assistance as required to the Compliance Department
  • Monitors regulatory requirements and advises on any need for internal communication, and amendments to processes, standards and reporting
  • Assists with responses to regulatory consultation papers as appropriate
  • Undertakes business projects as directed by the Head of Compliance
  • Assessment of sales processes for compliance with regulatory requirements
  • Reviews financial promotions for regulatory compliance
  • Assists with the submission of regulatory reporting within set timescales
  • Telephone Monitoring for Compliance Purposes
  • Undertakes analysis of complaints 
  • Reviews and respond to complaints received from FOS
You will have a minimum of 1 year's Compliance experience within the Financial Services sector. My client offers a competitive starting salary and scope to progress within the business.

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