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Part Time Compliance Officer (3 days a week)

Step Ahead Recruitment





Posted: 18/03/2023

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Compliance Officer – Part Time – 3 full days a week - Pool In Wharfedale - £25k basic salary (for the full 3 days)
An exciting opportunity, to join one of the best financial services companies in Leeds. They are fun, friendly, sociable and work in lovely modern offices with lounge area, games room, onsite gym and fully stocked Beer & Prosecco fridge. A hugely supportive environment with loads of opportunity within the business.
The purpose of this role is to be responsible for the implementation and ongoing management of the compliance monitoring programme for the business. You will directly be reporting to the Managing Director and work across the business with designated compliance champions to make sure the company is operating in compliance with FCA regulations.
* 24 days holiday (increasing on length of service) + day off for birthday + 8 bank holiday
* Hybrid working available
* Beautiful, sociable offices in Pool In Wharfedale with lounge area, games room, onsite gym and fully stocked Beer & Prosecco Fridge
* Regular, paid social events
* Self-development and progression opportunities
* Free onsite parking
* Free Fruit, Nespresso Coffee and Tea
* Being part of a vital team in the company
Job role
* Perform risk assessments to understand risk level, significance and scope
* Keep up to date with, and understand, relevant changes within the FCA and keep up to date with regulations
* Monitor compliance with laws, regulations and internal policies
* Manage voluntary best practice relating to professional standards
* Ensure that your findings are recorded and followed up with management so that issues can be rectified
* Educate employees on not only the regulations, but also the impact on the organisation if these aren't complied with
* Investigate irregularities and non-compliance issues
* Independence and willingness to take responsibility for one's own workload in order to meet deadlines.
* Report back to business functions on current risk and compliance performance
* Highlight or escalate areas of concern
* Review marketing materials and websites to ensure compliance with regulatory requirements
* Support the strategy for Consumer Duty implementation including methodology and approach
* Contribute to the creation of the Consumer Duty Plan based on business needs, internal and external high risk areas
* Assist in the gathering of internal information in response to regulatory requests
* Collaborate with other departments to create a culture of compliance.
* Maintain appropriate compliance standards and knowledge
Experience/skills required:
* Similar experience in a compliance FCA regulated role
* Good understanding of the FCA guidelines
* Strong attention to detail
Please apply here with your CV

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