|Date posted:||05 Apr, 2018|
|Salary:||£24000 - £26000|
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.