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Compliance Officer

Employer
Kate+Co
Location
Warwickshire, UK
Salary
Competitive
Closing date
Apr 10, 2019

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Job Role
Compliance Accountant
Sector
Finance
Contract Type
Permanent
Hours
Full Time
Kate & Co are excited to be working with one of its key clients who are looking for a Compliance Offcier to join their team based in Leamington Spa. Job

Responsibilities:
Conducting internal audits to provide assurance to the Approved Persons that the firm is compliant with regulatory codes and legislative guidance set by the regulatory bodies. Kate & Co are excited to be working with one of its key clients who are looking for a Compliance Offcier to join their team based in Leamington Spa. Ensuring that our Quality Assurance checks, and controls are effective and that any weaknesses are reported, identified and addressed. Review of policies and procedures and training to ensure they are up to date and compliant with regulatory requirements. Respond to queries raised by the FCA and completing applications for approved persons; Delivering and providing training firm wide. Contribute to projects to support regulatory changes, within the firm such as the General Data Protection regulations and providing guidance on compliance Assisting the Head of Risk and Compliance to maintain the firm's risk register and devise and implement a firm wide risk based monitoring plan in line with the firm's risk register Working with the Compliance Manager to conduct firm wide thematic audits to address areas of high risk and provide clear and concise management reports. Ensure incidents are properly investigated and that a proper record is maintained to be reported on to the Compliance, Operational and IT meeting. Respond to complaints that are received and deliver appropriate responses within set timescales and implement remedies to avoid repetition of complaint clause. Respond to requests for information under the Data Protection Act and requests to delete information. Carrying out checks on new business loads including conflict checks on new matters (up to 500) against the firm's data base. Updating training material to ensure it is compliant with legislation and working with the compliance team to deliver training in a way which minimises time away from work. Performing due diligence on new and existing suppliers, and undertaking onsite and remote audits. Periodic reviews of all standard contact methods, including letter, email and SMS sent. Person Specification: The successful candidate will have experience of working within compliance at a law firm and be used to working in a busy and fast paced environment

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