Description
Compliance Advisor -£negotiable - 12 Month fixed Term - Cirencester
I am looking for an experienced Compliance Advisor to take on a 12 Month fixed term contract (Maternity Cover). This role would be within a leading financial services organization based in Cirencester.
*Please note that this is a 12 month Fixed Term Contract, the salary is confidential but is competitive, please state your salary expectations in your application.*
The role will be to ensure that adequate processes and procedures are applied to maintain compliance with regulatory requirements.
This will be achieved through compliance reviews, partner investigations, monitoring of MI and ad-hoc projects. You will also have responsibility for supporting the formulation of regulatory policy across the business, review the outputs from the FSA, identify and support key regulatory developments and act as a point of reference for the company on regulatory policy.
*All candidates must have experience within compliance and be qualified to diploma level (Diploma in Regulated Financial Planning)*
The role:
* Using the compliance universe and FSA handbook, carry out themed compliance reviews to ensure that adequate processes and procedures are applied throughout SJP to maintain compliance with regulatory requirements and to ensure that they are in line with our values and principles of treating our clients fairly;
* Keep the Head of Compliance and Compliance Officer informed of any key compliance findings identified during reviews;
* Undertake investigations into Partners whose contract has been terminated as a result of a field investigation;
* Monitor monthly MI and report any inconsistencies, trends or concerns to the Head of Division - Field Risk keeping the Head of Compliance informed;
* Daily review of HM Treasury and FSA websites and other mediums of regulatory sources eg Compliance Online, Europa and Industry guidance to identify key issues for onward communication;
*Acting as the point of contact for FSA rules and COB matters in particular. Key contacts are: Group Risk, Legal, Partnership Accounts, SMT and Business Development.
* Business relationships; provide guidance/advice on permitted business relationships such as introducers and other third parties.
* Where required, manage and update the various Compliance Manuals.