Pier Recruitment
Brighton and Hove Recruitment
Brighton and Hove Recruitment

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Compliance Supervisor (Financial Services)

  • Location:Horsham, West Sussex
  • Salary:£27000.00 - 29000.00
  • Job Type:Permanent
  • Date Posted:10/01/2019

Compliance Supervisor (Financial Services)
Location: Horsham (some travel throughout the UK)
Salary: £27,000 - £29,000k + Benefit package
Hours: 9.00am-17.30pm

We have great pleasure in supporting our client in the recruitment of a Compliance Supervisor to work in their central Horsham office.

The role involves embedding a positive compliance culture across the organisation to ensure best practices and identify and mitigate risk.

Responsibilities:

* Conduct induction, investigation and monitoring of the organisations in-house systems
* Support the Compliance Manager by conducting audits on the activities of employees
* Review client files to confirm suitability and good customer outcomes and ensure adherence to regulatory and company requirements
* Identify any breaches or Misconduct by firms and individuals, reporting and training and compliance failure
* Provide feedback and prepare action plans following any audit and complete risk evaluations
* Provide guidance to individuals in setting up and maintaining good business and compliance practices and procedures
* Handle customer complaints in a fair manner and in accordance with regulatory requirements
* Undertake lead project work where required by the Compliance Manager

The right candidate will have the following skills, qualifications and experience:

* CII in financial planning or equivalent
* Preferably experience in occupational pension schemes
* Working knowledge of the FCA Rules
* Awareness of the rules and regulations of other relevant bodies (e.g. JMLSG, FATF, ICO)
* ICA Certificate in Compliance or other compliance qualification (desirable)
* CII 'Financial Services Regulation and Ethics [R01]' (desirable) (Essential within 12 months of appointment)
* Working knowledge of the financial services industry, products and risks
* Working knowledge of a Compliant Sales Process and Disclosure requirements

This is a great opportunity to join a reputable and professional organisation, for more information about this role please contact Sarah Nicholas 01293 223800 or apply today!

Pier Recruitment does not discriminate on the grounds of 'protected characteristics' as defined under the Equality Act and other relevant UK legislation.

Pier Recruitment acts as a Recruitment Agency in relation to all Permanent roles and as a Recruitment Business in relation to all Temporary roles.

If your application is successful a consultant will be in contact with you within the next 2 working days. If you do not hear within 7 days please call the office as we always wish to provide 100% customer service.

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