Compliance Officer - Lancashire
Consultant Richard Ryan
Date posted 02 July 20192019-07-02 2019-08-31 banking Lancashire Lancashire GB BL1 4QP GBP 35000 45000 45000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A rapidly growing financial services organisation is currently seeking a Compliance Officer to join its operations in Lancashire. Reporting to the Compliance Manager, the purpose of the role will be to deliver both compliance advice and monitoring to the business.
Key duties include:
- Monitor and analyse regulatory change and assess the potential business impact.
- Deliver compliance monitoring reviews and prepare reports for the business.
- Provide advice and guidance to the business, in response to compliance queries.
- Review and approve customer communications, including financial promotions.
- Promote a strong compliant culture within the business, through activities such as regulatory training.
- Provide compliance input to project change.
- Maintain the firm’s compliance policies and procedures.
The successful candidate will have:
- A background in a compliance role or fund operations (UCITS/Alternative Investment Funds)
- Completion or willing to work towards the Investment Operations Certificate (IOC)
- 5 GCSE's grade A-C (incl. Maths and English) or equivalent
- Able to problem solve and deal with complex queries
- Able to prioritise & work to strict deadlines
- Good knowledge of Microsoft Excel, Word and PowerPoint
- Excellent communication, numerical, stakeholder management and influencing skills
- Strong attention to detail
- Ability to work as part of a team and learn quickly
This is a fantastic opportunity to join a highly successful business with excellent long term career prospects. Please reply with an updated copy of your CV as applications for this role will close shortly.