Location: Rochester, Kent – Hybrid (3 days in office after probation)
Reporting into - Compliance Manager
Role Overview:
Working with both the Compliance Manager and Complaints Specialist, the Compliance Officer will provide regulatory support and guidance to the business to ensure regulatory obligations are met. The role focuses on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.
Key Responsibilities:
- Data Protection: Process Data Subject Access Requests (DSARs).
- Breach Management: Log, investigate, and analyse breaches.
- Horizon Scanning: Monitor and report on regulatory changes.
- Financial Promotions: Review marketing materials for compliance.
- Regulatory Reporting: Assist with regulatory requests.
- Policies: Create and review internal policies.
- Management Information: Gather data to demonstrate regulatory adherence.
- Thematic Reviews: Support thematic reviews as needed.
- Complaints Support: Log complaints and prepare files for the Ombudsman.
- Must Have:
- 2+ years' compliance experience
- Preferably worked in wealth management/financial planning
- Strong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)
- Understanding of consumer duty
- Desirable:
- Experience in pensions or thematic reviews.
- ICA or similar compliance qualifications.
- Level 4 Diploma in Financial Planning.
