Compliance Officer – Wimborne – Salary circa £35,000 – 14 Month
Compliance Officer – Wimborne – Salary circa £35,000 – 14 Month FTC
A Compliance Officer is required for our client based in Wimborne working for a financial services company in the compliance team. The main aspect of the role is to be responsible for carrying out compliance monitoring, assisting the Head of Compliance in carrying out his/her duties, managing all Data Protection and Data Security matters and the prevention of financial crime.
- Assist in the development and completion of the annual compliance plan based on an analysis of the key areas
- Undertake 2nd line monitoring to provide assurance of 1st line activities including but not limited to Training and Competence, Quality Assurance and other operational business activities.
- Ensure that all DSARs are handled in a timely, accurate manner
- To check financial promotions, marketing and non-marketing literature to ensure compliance with regulatory requirements
- Assist with monitoring and advising on
- Establishment and maintenance by operational areas of effective systems and controls
- Regulatory developments and changes
- Identifying and assessing compliance risks
- Providing regular training and presentations on all aspects of compliance requirements
- Keep orderly records to enable senior management and the regulators to monitor compliance with regulatory requirements
- Monitoring and reporting compliance breaches or flaws
- Previous experience in a similar role
- Strong knowledge of FCA regulations and industry best practice including BCOBS, MCOB, Complaints, Financial Promotions, Financial Crime including AML/CTF and Fraud and Data Protection Regulations.
- General knowledge of the financial services industry and its operational activities
- Knowledge and experience of conducting compliance monitoring with particular attention to root cause analysis
- Analysis & fact finding and the ability to give presentations
For more information on this role, please send your CV to [email protected] or alternatively you can apply online.
Bond Williams Professional Recruitment are an equal opportunity employer and operate as an Employment Business and Recruitment Agency