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PT Compliance Officer FinTech

Distinct Recruitment
Job LocationLeicester
EducationNot Mentioned
Salary£40,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

OVERVIEW Our client is a new (but well-funded), fast growing business and have a start-up environment - highly motivated and focused on growing our platform and developing products, brand and reach.That means getting stuck into what you need to do but also getting involved in things outside of your experience and functional expertise.They believe in Trust rather than Control, they dont do rules, but they do expect results.THE ROLE & RESPONSIBILITIES

  • Support delivery of a culture that embraces Compliance throughout the business.
  • Preparing and reviewing business compliance KPIs
  • Reviewing and signing off literature against the firms services and FCA Financial Promotions rules
  • Performing regular reviews and updating of financial services policies and processes in line with relevant legislation.
  • Monitoring compliance with monthly and annual accounting reporting including monthly checklist and Quarterly Board Reports
  • Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance
  • Supporting the Team to develop and deliver training on key areas by the identification of generic issues or new regulations
  • Develop and implement the Annual compliance plan
  • Ensure the business practices are compliant with ICO requirements.
  • Conduct audits and reviews to ensure execution of compliance standards
  • Conduct audits and reviews to ensure execution of compliance standards
  • Produce detailed reports with recommendations based on findings during audits
  • Communicate with insurers and address any concerns they have about compliance matters
  • Proactively research to find root cause of compliance issues
  • Keep up to date with, and understand, relevant laws and regulations
  • Assist with the timely preparation and submission of reports and other fillings by companies to relevant regulatory authorities and bodies
  • Investigate irregularities and non-compliance issues in the company and advise for swift action
    • REQUIREMENTS
  • Experience of developing a strong control environment within the financial services sector
  • Have the ability to report with clarity on the issues identified and actions needed to resolve those issues.
  • Be able to make clear assessments on the priority and importance of reporting
  • Have a solid working knowledge of COBS, ICOBS and MCOBS.
    • WHAT THEY LOOK FOR
  • Exceptional communication skills, both written and verbal
  • Strong Organisational skills
  • Proven ability to work on your own initiative
  • A can do attitude
  • Personable with the proven ability to build strong working relations
    • Distinct Recruitment Privacy Policy

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