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Assistant Compliance Officer

  • £30000 - £33000 per annum
  • Bromsgrove
  • Posted: 01/12/2022
  • Permanent
  • Job Ref: V40102977

Job Details

Assistant Compliance Officer – Bromsgrove £30-33K+ Flexible & Hybrid Working
My client, a growing Financial Services company based in Bromsgrove & Cheltenham is looking to further establish themselves in the market. Hiring an outstanding Compliance officer is an essential part of this process to strengthen the Compliance team
The Role
Reporting to the Head of Compliance the Compliance Officer will be expected to develop and apply compliance policies whilst monitoring their implementation. The ideal individual will have a pro-active approach to establishing the correct framework for controls and  continue building the compliance function for the business.
Other duties

  • Support the monotoring of company processes to confirm the business is compliant with FCA regulations
  • Help to develop concrete suggestions for amendments and improvements  times by continually reviewing company procedures, recommending and implementing any agreed changes to improve efficiency and effectiveness
  • Assist the management of  compliance overview program to ensure all is within approved timescales
  • Assist with the audit process to pre-emptively avoid infractions and any issues
  • Produce meaningful MI for key stakeholders and board members to stir business improvement
What are we looking for?
  • Ideally a candidate 1-2  years within the IFA or wealth management space environment.
  • Display a a basic understanding of  a variety of FCA regulations including MiFID II, SM&CR .
  • You will be a driven individual with plenty of ambition as there is a clear pathway to promotion
What’s on offer?
In addition to the attractive salary the role also attracts a variety of benefits
  • 25 days holiday
  • Free parking
  • Flexible & Hybrid Working after a period of settling In