Compliance Officer

Job Title: Compliance Officer

Industry: Financial Services

Location: Cardiff

Salary: £25,000 - £35,000

Reference Number: 14246

Job Description:

Recruit UK are working on an excellent opportunity for a Compliance Officer in Cardiff to join a Financial Planning and Mortgage firm.

Our client is an award-winning company who is rapidly growing and looking for a compliance office to come and join their team. They take pride in everything they do, work hard to maintain excellent customer service and achieve the best results for their clients.

Their growth has meant they need an experienced Compliance offer to monitor and take control of the compliance of the firm. The role will include but not be limited to:

·Provide advice to colleagues on new and old regulations.

·Reporting at a board level on conduct and compliance

·Design a program for monitoring regulations and ensuring compliance

·Being up to date to regulatory changes and how they will implement the firm

·Reviewing all business promotions to ensure they are compliant with regulatory requirements

·Ensuring TCF is embedded across the group

·Review and provide compliance advice on new products and/or sales initiatives

·Being the main point of contact for compliance and providing ongoing training

·Liaising with the FCA, where necessary, to ensure compliance for clients

·Management of GABRIEL returns

What’s in it for you:

·Join a growing, successful and award-winning company

·Highly competitive salary

·Quarterly social events

·Christmas shutdown and 24 days holiday

·Free onsite parking

Skills and experience required:

·Experience working in a Financial Services firm – Essential

·Previously experience communicating with stakeholders on multiple levels – Essential

·Qualifications in CeMap and Level 4 diploma – Desired

·Knowledge and understanding of the FCA Principles of Business