Compliance Officer

Pyramid8 have a fantastic opportunity for their client in Selby to join the team in a recently created Compliance role.

We are 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.

Ideally you will have knowledge of an AR business model and a proven track record of using the FCA connect system.

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.

The role:

• Managing the on-boarding of Appointed Rep’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

Benefits:

Free parking

Perk box

Flexible working

Bonus