Compliance Officer (FCA)
other jobs Evolving Futures Recruitment Limited
Added before 1 Days
- England,Yorkshire and The Humber,West Yorkshire,Leeds
- Full Time, Permanent
- £35,000 - £42,000 per annum
Job Description:
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.
(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.
Job number 3699999
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