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Compliance Officer

  • Location:

    Cardiff, Wales

  • Sector:

    Financial Services

  • Job type:

    Permanent

  • Salary:

    £25000 - £35000 per annum

  • Contact:

    Josh

  • Contact email:

    josh.thomas@brookstreet.co.uk

  • Job ref:

    CAR/806495_1571840667

  • Published:

    23 days ago

  • Expiry date:

    11/11/2019

  • Startdate:

    18/11/19

Job Description

Brook Street are working with a leading IFA firm based in the Cardiff area who are looking for a Compliance Officer to come and join their team.

The ideal candidate will have at least 2 years' experience in a regulatory compliance, gained in either an IFA or mortgage brokerage environment. A candidate holding a CeMAP qualification would be beneficial and a candidate holding a Diploma in Regulated Financial Planning would be a significant advantage.


Job Description -


" Provision of regulatory advice in relation to existing and new regulation with a particular focus on GDPR, MiFID II, FSMA, MCOB, ICOBS, DISP;
" Board level conduct and compliance reporting;
" Design of a risk-based compliance monitoring programmes to ensure compliance with both existing and new regulation;
" Undertaking regulatory horizon scanning, typically consultation papers and policy statements, supporting the dissemination of regulatory change within the business;
" Oversight of Approved Persons Regime / SM&CR;
" Reviewing financial promotions and issuing guidance to the first line to ensure all promotions are compliant with regulatory requirements;
" Ensuring TCF is embedded across the Group;
" Reviewing and providing regulatory advice on new products and/or sales initiatives;
" Providing ongoing training and advice to the first line on regulatory matters;
" Prompt and thorough investigation of complaints, ensuring that the right outcome is achieved for our clients. Liaising with the Financial Ombudsman Service where necessary; and
" Management of GABRIEL returns

Skills

" Prior knowledge and experience of working within financial services, ideally dealing with MiFID products
" Experience working closely and communicating with various stakeholders at multiple levels
" Effective verbal and written communication skills
" Ability to work under pressure
" Knowledge and understanding of the FCA Principles for Business


Paying an attractive salary of £25,000-£35,000 ,

Please Apply now or calling the Cardiff Branch.

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