Location: Rochester, Kent – Hybrid (3 days in office after probation)
Role Overview:
Working with both the Compliance Manager and Complaints Specialist, focussing on fostering a compliant culture, client outcome focus, and compliance with regulatory requirements, including data protection, breach management, financial crime investigation, and regulatory reporting.
Key Responsibilities:
- Breach Management: Log, investigate, and analyse breaches.
- Horizon Scanning: Monitor and report on regulatory changes.
- Financial Promotions: Review marketing materials for compliance.
- Regulatory Reporting: Assist with regulatory requests.
- Policies: Create and review internal policies.
- Management Information: Gather data to demonstrate regulatory adherence.
- Thematic Reviews: Support thematic reviews as needed.
- Complaints Support: Log complaints and prepare files for the Ombudsman.
- Must Have:
- 2+ years' compliance experience
- Preferably worked in wealth management/financial planning
- Strong knowledge of FCA regulations and handbook (eg. COBS, SMCR, code of conduct etc)
- Desirable:
- ICA or similar compliance qualifications.
- Level 4 Diploma in Financial Planning.
