£40000.00 - £45000.00 per annum
3 months ago
up to £45,000 PA
Monday - Friday
An experienced Compliance Officer is required for a rapidly expanding financial services organisation based in Lichfield.
The ideal candidate will have proven experience working in a generalist compliance role within an Investment Management organisation (or something similar). You will present an up to date knowledge of UK legislation's and a keen interest in progressing their career within this field.
The primary focus of this position is to oversee day to day compliance for the business and will be reporting directly into the head of compliance. You will be welcomed into a friendly environment with the potential to progress towards CF10 and CF11 status.
- Develop, implement and manage compliance framework, regulations and policies
- Devise and implement compliance rules throughout the business to enhance regulatory framework
- Monitor operational performance in relation to compliance regarding Client Money and Client Asset protection rules
- Provide detailed reports which can be understood throughout the business
- Perform periodic audits on company regulatory procedures and processes
- CISI Diploma in Investment (desirable)
- Bachelor's degree in law, business or finance (or something similar)
- Proven experience within a similar role