Compliance Officer

NJR Recruitment
Chester, UK
16 Jun 2019
18 Jun 2019
Contract Type
Level of qualification
Newly qualified, Qualified
Compliance Officer Location Chester

£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 maintain 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 prospects. 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