Compliance Officer, Leeds

Financial Services Compliance vacancy in Leeds. Our Client is a well recognised IFA Organisation and based in Central Leeds. They are now looking to meet with an experienced Compliance Officer. 

Purpose of the Role:
•To provide support to the Compliance Director with the cultural integration, management and development of the compliance department’s profile within the business. 
•To maintain and develop procedures to show adherence with the principles and the rules of the FSA, and which promote the concept of "Treating Customers Fairly" across the Group. 
•To provide guidance and support to Advisers, Sales Managers and Directors to ensure close adherence to compliance, training and competence and anti-money laundering procedures.

Principle Accountabilities:
•Oversee the regular monitoring of adviser’s client files by an external consultant to ensure the remedial action is correctly documented. 
•Review financial promotions and stationery.
•Assist in the interpretation of current regulations and act as a business enabler.
•Manage and develop risk based monitoring of advisers including KPIs, CPD and file reviews.
•Assist in the implementation of TCF across the group.
•Visit the regional branches of the Group on an ad hoc basis to conduct audits, and ensure compliance with FSA regulations, whilst inspiring a positive compliance culture.
•Provide support in the induction process for new employees to include ensuring the necessary regulatory approvals are in place, training undertaken and written declarations received and documented. 
•Assist with the resolution of complaints.
•As part of a small compliance team other compliance duties and project work will be undertaken, as required.

Experience Required:
•A good understanding/working knowledge of the FSA Handbook and the Anti-money laundering guidance. 
•The ability to prioritise own workload, be self-motivated, organised and disciplined.
•Able to work as part of a team, but also be comfortable working in isolation, as necessary.
•Strong interpersonal and communication skills at all levels.
•Experience of working in an "adviser-facing" role is desirable.
•Has the ability to understand the business needs of a growing firm of independent financial advisers.
•Has good IT skills, in particular Word, Excel and Outlook.

Qualifications:

* Minimum requirement is FPC qualified.

There is also a Discretionary Bonus Payable along with a Benefits Package.

To apply for this position, please click here.