Compliance Officer
Job Type : Permanent, Full Time
Salary : £35000 – £40000/annum
Pyramid8 have a fantastic opportunity for their client in Selby to join the team in a recently created Compliance role.
I am looking to speak to experienced Compliance candidates that have come from a regulated background.
This is genuinely a growing business who are looking for a Compliance Officer that is looking for stability and longevity.
Ideally you will have knowledge of an AR business model and a proven track record of using the FCA connect system.
Do you come from an Insurance or Financial background? Do you have a proven track record of dealing with the FCA? If yes, then I would love to speak to you.
The role:
* Managing the on-boarding of Appointed Rep’s and approved persons with the FCA
* Managing the termination process of AR’s leaving / ceasing to trade
* Managing directory persons applications for registered individuals
* Owning Annual review process with AR’s
* Overseeing changes to websites / marketing materials
* FCA Connect reporting
* RegData reporting
* Direct authorisation applications with the FCA
* Overseeing file checking for regulated files
* Delivering compliance on-boarding training
* Owning and updating policies (TCF, AML etc…)
* Dealing with potential conflict of interest queries from the network
* All general day to day compliance questions
* Developing a robust framework for overseeing all files for non regulated products
* Review suitability reports for commercial deals
* Ad-hoc FCA reporting (recent survey)
To apply for this role:
* Have a proven track record of working within a regulated environment, specifically with the FCA
* Experience of managing process and implementing new ones
* Experience of working within a Compliance role
Benefits:
Free parking
Perk box
Flexible working
* Bonus
