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We are looking for a experienced and qualified individual to join the Compliance Department (CISL) team based in our Witney office.
Main Purpose of the Role:
- To Hold the SMF 16 function (Compliance oversite function)
- To provide an effective systems and controls framework across the Organisation, to ensure compliance with all regulatory regimes under which the business operates
- The focus is primarily on FCA compliance but also encompasses compliance with Data Protection Act and Proceeds of Crime Act, as well as others
- To ensure that Courtiers and its Appointed Representatives comply with all regulations, which apply to its permitted activities, by way of undertaking monitoring reviews to demonstrate compliance
- To assist in the development and maintenance of effective systems and processes within the Organisation
- Must have a minimum of 5 years’ experience in a similar role
- This role is 100% office based
Duties and Responsibilities:
- Implement the objectives set out in the CISL Compliance Manual and Compliance Monitoring Programme
- To implement and manage comprehensive monitoring programmes, covering all aspects of the Business, to check that the Business continues to be conducted in compliance with all relevant regulatory obligations, to report to the Senior Managers all significant exceptions, and to check that actual or potential breaches are remedied promptly.
- To advise employees on all applicable regulatory obligations, including advising on regulatory developments and on procedures required to ensure compliance with these obligations.
- Suggest changes to scope of reviews or focus on areas where new risks have been identified.
- Ensure employees receiving training in complaint handling procedures.
- To assist the Compliance Officer in ensuring that the company establishes and maintains at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the business from errors, irregularities or fraud
- Also to monitor all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by senior management
- To recognise potential instances of fraud and money laundering and, where agreed, report these instances to the appropriate authority
- To monitor proposed changes in legislation with particular relevance to compliance of all regulatory regimes
- To ensure that regulatory reporting requirements are met
- Act as Compliance Officer in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements.
- Assist in providing advice and coaching to employees to enable them to deliver process improvements which are fully compliant with relevant regulatory requirements
- To co-ordinate the handling of client complaints
