Compliance Officer (FCA)

(Regulatory Compliance - Financial Services)

Leeds City Centre - Hybrid

Up to £42,000 (DOE)

Our client is looking to appoint a Compliance Officer to the team, reporting into the Head of Compliance. FCA handbook knowledge is required.

Roles and Responsibilities:

Completion of compliance monitoring activity including, but not limited to :

• Annual, interim, desktop and initial assessments (‘Audits’)
• Thematic reviews
• File Reviews
• Mystery Shopping
• Social Media and Website checks
• Call monitoring
• Online review assessment (trustpilot, google reviews, meltwater etc)
• MI review
• Solvency Check & Creditsafe monitoring
• Manage the complaints handling process for the ARs

Skills and Knowledge:

• Ability to interpret the regulators principles-based requirements.
• FCA handbook knowledge related to systems and controls, DISP, CONC, SMCR and Conduct Rules and Consumer Duty.
• Good keyboard skills including Microsoft Office, e-mail and internet.

Behaviours:

• Strong organisational skills to manage all client facing tasks.
• Solid interpersonal and communication skills with ability to communicate at Senior Board level through to Sales level personnel.
• Good influencer with ‘can do’ collaborative team ethics.
• Observe the terms of the Data Protection Act and the company’s registration under the Act.
• Maintain absolute client and company confidentiality at all times.

Our client offers outsourced compliance services to retail clients.