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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