Compliance Officer
- Employer
- NJR Recruitment
- Location
- Chester, UK
- Salary
- Competitive
- Closing date
- Jun 19, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Compliance Officer Location Chester
Salary:
£33,000 -£35,000 Our Client is a National & Leading firm of Chartered Financial Planners with offices in Cheshire, Leeds and London. An exciting opportunity is available for a 'Compliance Officer' to join their large offices based in the Chester area. Reporting to the Compliance Manager, the purpose of the role will be to m aintain accurate, detailed and up to date compliance records across all areas of the firm's business for Management Information. You will come from a strong compliance background gained within Financial Advising and will offer excellent knowledge of relevant FCA rules and guidance including conduct of business and SYSC rules. Daily duties will consist of;
• Prepare relevant MI for reporting to the Board/management meetings.
• Ensure knowledge of the necessary regulatory requirements is kept up to date.
• Encourage appropriate ethical standards within the firm.
• Be pro-active in raising the educational standards surrounding regulatory compliance.
• Provide advice, support and guidance to branches and offices within the Group (including where applicable any Appointed Representatives) in all areas of compliance and regulatory matters.
• Develop and maintain current knowledge of the regulatory environment by keeping up to date will all regulatory bulletins and being in a position to report to the Board and other colleagues where necessary.
• Assist in reviewing and keeping up to date a compliance plan throughout the Group.
• Assist the CF10 to ensure that all regulatory reports required by FCA are submitted on time
• Maintain the Data Protection register for ABG and ensure all businesses (as relevant) and all self-employed advisers correctly registered with the Information Commissioners Office. This is a fantastic opportunity to join a highly successful business with excellent long term career prospec ts. The ideal candidate will be Diploma 4 qualified with excellent knowledge of pension transfers. You will have strong organisational and communication skills, a positive and hard working approach and a proven ability to deliver. For more information please contact one of our specialist consultants quoting REF: NJR9129 This job was originally posted as www.totaljobs.com/job/86596756
Salary:
£33,000 -£35,000 Our Client is a National & Leading firm of Chartered Financial Planners with offices in Cheshire, Leeds and London. An exciting opportunity is available for a 'Compliance Officer' to join their large offices based in the Chester area. Reporting to the Compliance Manager, the purpose of the role will be to m aintain accurate, detailed and up to date compliance records across all areas of the firm's business for Management Information. You will come from a strong compliance background gained within Financial Advising and will offer excellent knowledge of relevant FCA rules and guidance including conduct of business and SYSC rules. Daily duties will consist of;
• Prepare relevant MI for reporting to the Board/management meetings.
• Ensure knowledge of the necessary regulatory requirements is kept up to date.
• Encourage appropriate ethical standards within the firm.
• Be pro-active in raising the educational standards surrounding regulatory compliance.
• Provide advice, support and guidance to branches and offices within the Group (including where applicable any Appointed Representatives) in all areas of compliance and regulatory matters.
• Develop and maintain current knowledge of the regulatory environment by keeping up to date will all regulatory bulletins and being in a position to report to the Board and other colleagues where necessary.
• Assist in reviewing and keeping up to date a compliance plan throughout the Group.
• Assist the CF10 to ensure that all regulatory reports required by FCA are submitted on time
• Maintain the Data Protection register for ABG and ensure all businesses (as relevant) and all self-employed advisers correctly registered with the Information Commissioners Office. This is a fantastic opportunity to join a highly successful business with excellent long term career prospec ts. The ideal candidate will be Diploma 4 qualified with excellent knowledge of pension transfers. You will have strong organisational and communication skills, a positive and hard working approach and a proven ability to deliver. For more information please contact one of our specialist consultants quoting REF: NJR9129 This job was originally posted as www.totaljobs.com/job/86596756
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