Compliance Officer
Compliance Officer, c. GBP30,000 plus exceptional benefits (including 23 days holiday + 12 refresher days + bank holidays + generous employers pension + private medical insurance + income protection benefit + life insurance + free parking + support with professional qualifications etc). The successful candidate will have worked within and have a good understanding of the regulatory requirements of the financial services sector. They will either have experience gained working in a financial compliance and risk function or be keen to start a career in the compliance and risk field.
I am recruiting a Compliance Officer for Paradigm Norton, one of the South West's leading financial planning firms, based in Ham Green, Bristol (BS20).
Reporting into the Compliance Manager this is a great opportunity for an ambitious, self-motivated individual who is keen to develop their own skills while helping to grow the compliance culture that already exists within the firm.
Compliance Officer, responsibilities include:
* Work closely with the Compliance Manager in every aspect of the financial planning, investment, management and protection areas
* Play a key role in monitoring and auditing client files and customer discussions to ensure appropriate advice has been given and that clients have been dealt with in accordance with regulatory requirements
* Support with the approval of financial promotions literature to ensure it is clear, fair and not misleading
* Continue to implement an effective risk assessment and reporting framework
* Assist with the development of new procedures to help the business grow and develop within a regulatory framework
* Be comfortable with developing systems to improve monitoring and reporting within the company's CRM (Intelliflo)
* Promote a proactive governance culture within the firm
* Monitor the key risk areas and escalate any potential issues
* Produce relevant and accurate MI and input into Senior Management Reports
* Support the Compliance function with maintenance of Company Registers
* Be aware of all products the company offers and the risks involved with such products
* Maintain a good understanding of the FCA Regulatory Framework
Compliance Officer, skills and experience required:
* Financial Services background (compliance and risk experience preferable but not essential)
* Excellent communication skills, both written and oral
* Highly organised with excellent record keeping skills and attention to detail
* Ability to quickly understand existing and new regulatory guidance
* Strong technology skills to manage compliance systems
* A self-motivated, solutions focused, team player
* Graduate-level preferable but not essential
* Willing to study towards relevant exams e.g. Compliance Diploma
Office Hours, 9.00 - 5.30, Monday to Friday
Dawn O'Shea recruits directly on behalf of Paradigm Norton Financial Planning Ltd so NO AGENCIES PLEASE. If you are successful in being short-listed you will be contacted within 14 days to discuss the role and your requirements in more detail
I am recruiting a Compliance Officer for Paradigm Norton, one of the South West's leading financial planning firms, based in Ham Green, Bristol (BS20).
Reporting into the Compliance Manager this is a great opportunity for an ambitious, self-motivated individual who is keen to develop their own skills while helping to grow the compliance culture that already exists within the firm.
Compliance Officer, responsibilities include:
* Work closely with the Compliance Manager in every aspect of the financial planning, investment, management and protection areas
* Play a key role in monitoring and auditing client files and customer discussions to ensure appropriate advice has been given and that clients have been dealt with in accordance with regulatory requirements
* Support with the approval of financial promotions literature to ensure it is clear, fair and not misleading
* Continue to implement an effective risk assessment and reporting framework
* Assist with the development of new procedures to help the business grow and develop within a regulatory framework
* Be comfortable with developing systems to improve monitoring and reporting within the company's CRM (Intelliflo)
* Promote a proactive governance culture within the firm
* Monitor the key risk areas and escalate any potential issues
* Produce relevant and accurate MI and input into Senior Management Reports
* Support the Compliance function with maintenance of Company Registers
* Be aware of all products the company offers and the risks involved with such products
* Maintain a good understanding of the FCA Regulatory Framework
Compliance Officer, skills and experience required:
* Financial Services background (compliance and risk experience preferable but not essential)
* Excellent communication skills, both written and oral
* Highly organised with excellent record keeping skills and attention to detail
* Ability to quickly understand existing and new regulatory guidance
* Strong technology skills to manage compliance systems
* A self-motivated, solutions focused, team player
* Graduate-level preferable but not essential
* Willing to study towards relevant exams e.g. Compliance Diploma
Office Hours, 9.00 - 5.30, Monday to Friday
Dawn O'Shea recruits directly on behalf of Paradigm Norton Financial Planning Ltd so NO AGENCIES PLEASE. If you are successful in being short-listed you will be contacted within 14 days to discuss the role and your requirements in more detail