Compliance Officer

• Location: Kent
• Job Type: Full-time, Hybrid

We are currently representing a prestigious pensions and wealth advisory company that is seeking a Compliance Officer to enhance their team. This role is integral to ensuring the company maintains its compliance with regulatory standards and fosters a client-focused culture. The successful candidate will report directly to the Compliance Manager and will be instrumental in supporting the company's compliance functions.

• Data Protection: Handling Data Subject Access Requests efficiently.
• Breach Management: Logging and investigating breaches, including conducting thorough root cause analysis.
• Horizon Scanning: Keeping abreast of regulatory changes that could impact the business and reporting these findings.
• Financial Crime: Conducting KYC due diligence and investigating referrals from within the business.
• Financial Promotions: Ensuring all marketing materials comply with regulatory standards.
• Regulatory Reporting: Assisting in compiling reports and responding to regulators.
• Culture: Educating staff on the importance of compliance and client outcomes.
• Policies: Developing and revising internal policies to align with current regulations.
• Management Information: Gathering data to demonstrate compliance with regulations and focus on client outcomes.
• Thematic Reviews: Participating in the Thematic Review program.
• Senior Managers and Certification Regime: Managing administrative and certification processes.
• Complaints Support: Assisting with the logging of complaints and preparation for the Financial Ombudsman Service.

• A minimum of 1 years’ experience in a Compliance role within the Wealth Management/Financial Planning sector.
• In-depth knowledge of FCA regulations.
• Exceptional communication skills, capable of managing stakeholder relationships.
• A pragmatic approach to the application of regulations.
• Strong investigative and decision-making skills.
• High level of accuracy and attention to detail.
• Analytical and problem-solving abilities.
• Self-motivated with excellent organizational and time management skills.
• Ability to simplify complex regulatory language for various audiences.

• Competitive salary and benefits package.
• Flexible hybrid working arrangement.
• Opportunities for professional growth and development.
• A collaborative and supportive work environment