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Senior Compliance Officer / Manager

Date posted: 12 Jun, 2018
Ref: Ref:co120618
Industry: Compliance
Salary: £42000 - £44000 + Bens
Location: Solihull
Contract Type: Permanent
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Further Information

My client is a small but expanding Financial Services provider based in the West Midlands. Due to this growth they are currently recruiting for a Senior Compliance Officer.

Reporting to the Operations Director you will act as a subject matter expert within Compliance. You main responsibilities will include;
•Support implement and deliver the Compliance Monitoring plan

•Evolve compliance policies

•Develop the compliance framework

•Research, interpret and providing feedback to the Operations Director on FCA Thematic Reviews, FCA Handbook updates and other relevant regulation

•Delivering the process for client file checks

•Delivering the process for approving Financial Promotions

•Drafting changes to policies and processes

•Providing compliance training to employees as required

•Monitoring the quality of work and productivity of team members

•Ensuring that all work is undertaken in accordance with the principles of treating customers fairly

You will be a Compliance professional with a minimum of 3 years experience. Experience within Wealth/Investment management would be an advantage although not essential. My client offers a competitive salary and benefits package and scope to progress within the business. 


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