Compliance Officer

Overview

Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our clients, a very well established and well respected firm of Independent Financial Advisers based in Leek, Staffordshire.

Compliance Responsibilities

• Lead and implement all regulatory change projects
• Complete all ongoing FCA reporting returns
• Maintain data on FCA directory
• Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans
• Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover
• Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirements of the T&C scheme, providing detailed feedback to advisers where required to aid any identified development need
• Produce quarterly and annual compliance MI reporting to the directors
• Manage the Compliance Monitoring plan
• Manage the Risk Register
• Draft key regulatory documents for the directors, including Capital Adequacy, Wind down plan, Business plan
• Produce, implement and monitor completion of all annual compliance staff training and new staff induction
• Management of regulated complaint process, including investigation and communications with clients and FOS
• Oversight and compliance approval of financial promotions
• Provide ongoing regulatory advice, including to directors and Investment Committee
• Key liaison point for external compliance support threesixty, including six monthly business risk assessments and completion of associated action plans
• Implementation and oversight of processes, including CIP, CRP, advice and annual review processes
• Implementation and oversight of all policies, including GDPR, Conflicts of Interest, Vulnerable Clients, product governance, etc
• Oversight and management of SM&CR requirements, including Statements of Responsibility

T&C responsibilities

• Oversight and management of the T&C scheme and all relevant documentation
• Supervision of all regulated adviser roles, including oversight of trainee adviser development plans, annual adviser risk assessments, adviser knowledge assessments, CPD, KPIs, and completion of half yearly appraisals
• Completion and requesting of regulatory references
• Completion of annual fit and proper checks (DBS, credit reference checks, annual fit & proper declarations) and annual re-certification of all certification staff

Requirements

• Level 4 Diploma in Financial Advice
• 2 years or more in a technical financial planning role

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