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Compliance Officer

Job LocationAltrincham
EducationNot Mentioned
Salary£35,000 - £40,000 per annum, negotiable
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

DescriptionTo support the Head of Risk in ensuring that the firm remains within the scope of the FSMA requirements at all times and to develop the compliance department within the business.There will be the opportunity for this person to manage the day to day running of the Compliance team which includes an Administrator so, we’re looking for someone that would be interested in taking on management responsibilities of the team.ResponsibilitiesUnderstanding the vision of the business to become a major player in the financial services sector and your own part in ensuring the Company reaches its goalsCommitment to developing in your own role and to delivering first class service to clients ValueDelivering on the service promises to our fee paying clients in a proactive and ordered mannerContribute to new ideas and new ways of working to ensure we bring greater benefit to our clientsReporting into the Head of Risk, you will be responsible for the day-to-day compliance functions of the firm. Your key responsibilities will focus around the following:

  • Pre and post-sale compliance file reviews in line with the Risk Based Monitoring programme
  • Approval of financial promotions (stationary, website, blogs, presentations etc.)
  • Complaints and compensation calculation handling
  • Organise and implement internal training for all staff in the required regulatory areas to include but not limited to: complaints, anti-money laundering and data protection regulation
  • Communicate and distribute compliance updates throughout the business in an efficient and effective manner
  • Implement, maintain, review and improve the documentation and processes within the compliance function (to include the T&C scheme, disclosure documentation and all regulatory plans)
  • Assist with the completion of the annual compliance audit
  • Project work as and when required
  • QualificationsEssential requirements
  • Diploma in financial planning
  • Desirable Requirements
  • Pass in J07
  • Chartered Status to include AF6
  • Experience
  • Experience in a similar role
  • BenefitsUp to 40,000 salary23 days (plus bank holidays) increasing to 25 days @ 5 years’ serviceBirthday Day offFlexible holiday system: Buy or Sell up to 5 additional days holiday per calendar yearIncome Protection Scheme pays a benefit of 75% of an employee’s basic salary, if they have not been able to work due to accident or illness for a period of thirteen weeks or more. DIS 4 times basic salaryPension -5% employer contribution after three-month deferment period.Minimum employee contribution of 3%. We also pay 50% of the NI savings into the scheme.Child Care vouchersAccess to discounted PMIDiscretionary Bonuses paid following the completion of the annual performance management review.Company subsidised social events once a quarter.Directors buy everyone "chippy" lunch on the first Friday each month.Monthly dress-down days.

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