[ref. u19945322] SENIOR COMPLIANCE OFFICER linked to Head of Compliance - FINANCIAL SERVICES - Witney, Oxfordshire

Great news - I have a skilled SENIOR Compliance officer role linked to & reporting the Head of Compliance within the business. 100% office based 9am to 5pm. HIGH SALARY

• Comply with the FCA’s Consumer Duty requirements, & other requirements in the company manual & processes.
• Maintain records in accordance with company compliance requirements as set out in business compliance manuals & procedures
• Work in requirements of the Data protection policy

Main Role Purpose: -

• To provide an effective systems & controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates
• The focus is primarily on FCA compliance & also encompasses compliance with Data Protection Act & Proceeds of Crime Acts
• Ensure that for the business you are undertaking & monitoring reviews to demonstrate compliance
• Assist in the development & maintenance of effective systems and processes within the Organisation
• Must have a minimum of 5 years’ experience in a similar role • This role is 100% office based

Skills & Knowledge Requirements:

• Relevant qualifications such as CISI Level 6 Diploma in Financial Compliance
• Ability to manage own workload & work within a team
• Knowledge of business processes, standards, policies & procedures
• Experience within the Financial Services Industry
• Exceptional communication skills all levels
• Excellent organisational skills HR2024
• Knowledge of Microsoft Word Excel, Outlook & Ideally Intelligent Office, Volume, Imago & Pulse dealing system
• Ability to work under pressure at times
• Provide leadership for the team
• knowledge & understanding of Statements of Principle for Approved Persons

• To assist the Heads of other departments in any tasks relating to the development of business
• Other duties which may be expected & which fall within your capabilities or general area of responsibility
• In accordance with the rules & guidance of the FCA Handbook, this role requires free access to all relevant departmental records, files, electronic directories, etc, in order to be able to oversee & monitor the activities that come under those regulations

• Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme
• • To advise employees on all applicable regulatory obligations, including advising on developments & on procedures required to ensure compliance with the obligations.
• Suggest changes to scope of reviews or focus on areas where new risks are identified.
• Ensure employees receiving training in complaint handling procedures.
• To assist the Compliance Officer in ensuring that the company establishes & maintains at all times, effective systems or internal controls in order to manage & minimise the risk of losses to clients or to the business in errors, irregularities or fraud
• Also monitor all aspects of the business to identify actual or potential weaknesses
• Act as Compliance Officer in identifying, investigating & rectifying rule breaches, & fulfil associated reporting requirements.
• Assist in providing advice & coaching to employees to enable them to deliver process improvements

APPLY IF LINKED TO SENIOR/HEAD OF COMPLIANCE OFFICER IN AN INVESTMENT BUSINESS FINANCIAL COMPLIANCE SKILLS.