Job Details







Job Details

Executive Network Group are currently seeking a part-time Compliance Officer to join a well established financial services firm based in Southend-on-Sea. Our client have maintained a great reputation in their market, and have recently opened their services up into new markets, meaning it's an exciting growth phase for them. They have has an entrepreneurial, open and positive culture with a focus on growth. They are seeking a for a part time qualified Compliance Officer to work alongside our current Compliance Administrator.

Responsibilities will include:

  • Monitor and communicate with the business on all relevant legislative and compliance developments impacting the business
  • Create implementation plans for necessary regulatory requirements
  • Investigate compliance risks and issues and provide feedback, as necessary
  • Reporting to the Operations Director, with a dotted line into the Commercial COO, ensure that procedure manuals and conduct risk policies are kept up to date and accurate, and they reflect the current regulatory and legislative requirements, including Product Oversight and Governance, Fair Value and Consumer Duty
  • Coordinate, review, update, and compliance of various internal reviews and assist the management in implementation of recommendations
  • Assist in the management and control of audit and review processes with either the underwriters or regulators
  • Assist in preparing regulatory return submissions
  • Maintain and update the Annual Compliance Framewor
  • Promptly report any identified regulatory breaches in line with internal procedure
  • Monitor and escalate findings to the Compliance Manager in respect of complaints customer feedback or other monitoring activities.
  • Assisting key directors in the preparation of compliance Board papers and updates
  • Supervision of day-to-day compliance activities.
  • Keep up to date with FCA, CBI and other regulatory body requirements to ensure all conduct requirements are met.
  • Any other tasks that fall within the Compliance Team
Skills required:
  • Experience includes at least 3 years in a compliance role/ department.
  • Compliance and monitoring experience within a regulated environment.
  • Able to read and analyse complex documents such as regulations.
  • Ability to provide a compliance perspective, whilst considering business needs.
  • Proven Excel and Word experience.

Sam Perry

Ref: 268281266