Compliance Officer - City, Birmingham, United Kingdom, B1
Leading privately owned company looking to recruit a compliance policy specialist to the established team in Birmingham city centre. The role is to implementation the firm's compliance policies and undertaking specified checks and controls to ensure that all departments are in compliance and undertaking periodic monitoring to ensure compliance to the firm's controls and regulatory requirements.
- Assist in the implementation of compliance policy and the regulator's rules, establishing adequate in-house controls and compliance procedures
- Dealing with day-to-day compliance queries relating to the FCA's rulebook
- Undertake daily and periodic compliance monitoring reviews of specified reports in order to ensure that controls are being followed
- Assist in the preparation of plans for the compliance function in order to contribute to the overall compliant operations of the firm
- Assist in the monitoring of breaches and manage the resolution of potential and actual high-profile events to achieve the optimum outcome for the business and the customer
- Act as a point of reference for individuals within the business, interpret issues raised and apply rules and principles to matters arising
- Assist with the handling of complaints
- Developing and maintaining strong and up-to-date knowledge of regulatory requirements
- To ensure that the firm adheres to the required FCA regulations and any other bodies including the LSE
- To escalate and report significant regulatory issues to the Divisional Director, compliance and the Compliance Officer in relation to training and competence and suitability issues
- To assist in delivering regular reports to the Divisional Director and the Managing Director as required
- To undertake and provide support to the Heads of Compliance on any other Compliance projects or tasks as and when they arise
The successful candidate will have a good compliance background within a FCA regulated firm, and be looking to develop and progress.