Compliance Officer

Overview

Bond recruitment is delighted to be recruiting for a Compliance Officer on behalf of our clients, a very well established and well respected firm of Independent Financial Advisers based in Leek, Staffordshire.

Compliance Responsibilities

• Lead and implement all regulatory change projects
• Complete all ongoing FCA reporting returns
• Maintain data on FCA directory
• Act as key liaison point for all FCA supervisory and thematic reviews and complete all associated action plans
• Completion of annual PII renewal, working closely with PII broker to secure compliant insurance cover
• Complete file reviews for Mortgage and Investment Advisers and provide pre-approvals of high-risk advice, as per the requirements of the T&C scheme, providing detailed feedback to advisers where required to aid any identified development need
• Produce quarterly and annual compliance MI reporting to the directors
• Mana...