Compliance Officer

Sheridan Maine
£30,000 - £39,999
17 Nov 2019
23 Nov 2019
Contract Type
Full Time
Compliance Officer - Cheltenham £35-42K+ Flexible working

My client, a growing Financial Services company based in Cheltenham is looking to further establish themselves in the market. Hiring an outstanding Compliance officer is an essential part of this process and 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

- Track company processes to confirm the business is compliant with FCA regulations
- Prepare and develop concrete suggestions for amendments and improvements
- Manage the compliance overview program to ensure all is within approved timescales
- Effectively manage 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 5 years + within the IFA or wealth management space environment.
- Display a sound grasp 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 within 2 years.

What's on offer?

In addition to the attractive salary the role also attracts a variety of benefits

- 25 days holiday
- Free parking

- Flexible working including work from home with the option of working a 4 day week