Job Description
Compliance Officer
We have an exciting opportunity for an experienced Compliance professional to join a well established Wealth Management firm in Godalming.
Alongside a competitive salary of up to 48k the benefits package is extensive, including 25 days holiday plus Bank Holidays, pension (5% employer contribution), private health insurance for employee and partner, life insurance (4 x salary), annual salary review / increase, discretionary annual bonus, hybrid working (on completion of probation, 1 day a week working from home), flexible working policy allowing you to accrue hours and earn up to 1 extra day holiday per month, support for professional development including study support for relevant qualifications and time off for events etc, opportunities for career development and a really supportive, friendly culture.
Working closely alongside the Compliance & Training Manager, the focus of the role is to create and maintain FCA driven compliance policies and procedures, and to ensure that all employees have adequate and up to date training.
Duties include:
- Create and maintain compliance policies, procedures and guidance notes, and upgrade the compliance manual annually
- Understand the qualifications and experience required to perform distinct roles, and create training and development plans for staff
- Ensure that all employees have adequate and up to date training, including coordinating online quarterly training and delivering in person training biannually
- Keep training records and results up to date
- Maintain records on compliance areas such as SPSs, exams, complaints, data breaches, document versions, qualifications, KPIs etc
- Develop an understanding of current regulatory issues and support the Compliance Manager with planning / preparing for the future impact of new legislation such as MIFID 11, GDPR and SMCR
We are looking for an experienced Compliance professional who has worked within Financial Services previously.
For more information please apply now!
