Compliance Officer

Selby, £30,000 - £35,000 Permanent
Reference: P8JOB4995 | Specialist area: Legal | Sector: Legal

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

The role:

  • 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
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