Compliance Supervisor (Financial Services) (5602) Horsham, England
| Salary: | GBP27000 - GBP29000 per annum + Benefit package |
Compliance Supervisor (Financial Services)
Location: Horsham (some travel throughout the UK)
Salary: £27,000 - £29,000k + Benefit package
Hours: 9.00am-17.30pm
We have great pleasure in supporting our client in the recruitment of a Compliance Supervisor to work in their central Horsham office.
The role involves embedding a positive compliance culture across the organisation to ensure best practices and identify and mitigate risk.
Responsibilities:
• Conduct induction, investigation and monitoring of the organisations in-house systems
• Support the Compliance Manager by conducting audits on the activities of employees
• Review client files to confirm suitability and good customer outcomes and ensure adherence to regulatory and company requirements
• Identify any breaches or Misconduct by firms and individuals, reporting and training and compliance failure
• Provide feedback and prepare action plans following any audit and complete risk evaluations
• Provide guidance to individuals in setting up and maintaining good business and compliance practices and procedures
• Handle customer complaints in a fair manner and in accordance with regulatory requirements
• Undertake lead project work where required by the Compliance Manager
The right candidate will have the following skills, qualifications and experience:
• CII in financial planning or equivalent
• Preferably experience in occupational pension schemes
• Working knowledge of the FCA Rules
• Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO)
• ICA Certificate in Compliance or other compliance qualification (desirable)
• CII ‘Financial Services Regulation and Ethics [R01]’ (desirable) (Essential within 12 months of appointment)
• Working knowledge of the financial services industry, products and risks
• Working knowledge of a Compliant Sales Process and Disclosure requirements
This is a great opportunity to join a reputable and professional organisation, for more information about this role please contact Sarah Nicholas 01293 223800 or apply today!