Technical Compliance Officer
Technical Compliance Officer - GBP50k - Kent
This Kent based IFA are in the market for a Technical Compliance Officer to take a lead role within the compliance team.
As a part of their on going service commitments to their clients, this role will ensure the quality and suitability of advice that has been given in order to mitigate risks. Key duties include:-
* Applying a risk-based and common-sense approach to the compliance technical process.
* Undertaking appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks.
* Producing analysis of internal procedural gaps and make suggestions of actions needed.
* Reviewing European legislation and directives and produce interpretations.
* Reviewing FCA / FOS notices.
* Providing technical support to appointed representatives and staff.
* Undertaking internal reviews of process sufficiency and provide findings to the Compliance Director.
* Providing support to other areas of the Compliance Department.
To be considered, it is essential to have a through understanding of the FCA regulations and be able to interpret rule changes whilst effectively managing the impacts of those changes for the business. To have attained the level 4 diploma in regulated financial planning is also critical.
This business continues to grow their client base thus creating opportunities for progression whilst being offered a competitive salary of up to GBP50,000 with a range of benefits.
For further information, please contact David Archer at Search Consultancy.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age
This Kent based IFA are in the market for a Technical Compliance Officer to take a lead role within the compliance team.
As a part of their on going service commitments to their clients, this role will ensure the quality and suitability of advice that has been given in order to mitigate risks. Key duties include:-
* Applying a risk-based and common-sense approach to the compliance technical process.
* Undertaking appropriate reviews of FCA outputs, ensuring that the findings are accurately recorded and handled appropriately so as to mitigate associated risks.
* Producing analysis of internal procedural gaps and make suggestions of actions needed.
* Reviewing European legislation and directives and produce interpretations.
* Reviewing FCA / FOS notices.
* Providing technical support to appointed representatives and staff.
* Undertaking internal reviews of process sufficiency and provide findings to the Compliance Director.
* Providing support to other areas of the Compliance Department.
To be considered, it is essential to have a through understanding of the FCA regulations and be able to interpret rule changes whilst effectively managing the impacts of those changes for the business. To have attained the level 4 diploma in regulated financial planning is also critical.
This business continues to grow their client base thus creating opportunities for progression whilst being offered a competitive salary of up to GBP50,000 with a range of benefits.
For further information, please contact David Archer at Search Consultancy.
Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age