Compliance OfficerSelby, £30,000 - £35,000 Permanent
Pyramid8 have a fantastic opportunity for their client in Selby to join the team in a recently created Compliance role.
I am looking to speak to Experienced Compliance candidates that have come from a regulated background.
This is genuinely a growing business who are looking for a Compliance Officer that is looking for stability and longevity.
Do you come from an Insurance or Financial background? Do you have a proven track record of dealing with the FCA? If yes, then I would love to speak to you.
Permanent - Office based, occasional WFH
- Managing the on-boarding of AR’s and approved persons with the FCA
- Managing the termination process of AR’s leaving / ceasing to trade
- Managing directory persons applications for registered individuals
- Owning Annual review process with AR’s
- Overseeing changes to websites / marketing materials
- FCA Connect reporting
- RegData reporting
- Direct authorisation applications with the FCA
- Overseeing file checking for regulated files
- Delivering compliance on-boarding training
- Owning and updating policies (TCF, AML etc…)
- Dealing with potential conflict of interest queries from the network
- All general day to day compliance questions
- Developing a robust framework for overseeing all files for non regulated products
- Review suitability reports for commercial deals
- Ad-hoc FCA reporting (recent survey)
To apply for this role:
- Have a proven track record of working within a regulated environment, specifically with the FCA
- Experience of managing process and implementing new ones
- Experience of working within a Compliance role