Risk & Compliance Officer


Salary:

GBP27000 - 33000 / annum

Location:

Bristol

Date posted:

19th February 2019

Employment type:

Permanent

Job reference:

06010-0010857486

Staffing area:

Administration


Description

Robert Half Office Team are currently looking to recruit for a Risk & Compliance Officer in Central Bristol. Our Client are looking for an experienced professional to join the business who's main focus will be to review and approve Financial Promotions, Literature & Communications, and test internal SIPP administration processes to ensure the company meets its regulatory obligations.

Responsibilities

  • Review & Approve Financial Promotions in line with FCA COBs ASA and CAP Code regulation
  • Review & Approve Literature & Communications with consideration to FCA and other relevant regulatory authority requirements & business need
  • Handling of Data Subject Access Requests and Information requests received
  • To maintain a data log of Financial Promotions, manage review due dates, and maintain a published version control process
  • To maintain a data log of other Literature items & Communications, manage review due dates, and maintain a version control process
  • To understand and keep up to date with regulation, in particular:
    - FCA COBS regulation regarding Financial Promotions
    - ASA
    - CAP Code
    - GDPR Data Protection Requirements
  • Ensure the company meet regulatory requirements relating to these areas:

FCA principles for Business, with particular focus on:

Principle 6: Customers Interests, pay due regard to the interest of its customers and treat them fairly

Principle 7: Communications with clients; A firm must pay due regard to the information needs of its clients and communicate information to them in a way that is clear, fair and not misleading

  • To cascade any regulatory updates to the compliance team and other team managers
  • Share learnings - Identify training requirements and implement improvements required to procedures where applicable
  • To represent the company in a professional manner
  • To take on any additional tasks assigned by the Compliance Manager due to company and departmental needs
  • Build and maintain relationships with:
    • Marketing Team
    • Compliance Team Colleagues
    • Administration Teams
    • CEO and other Senior Managers,

Person Specification

  • Financial Services Experience including within a pension's environment
  • Compliance/Risk background
  • FCA COBS Financial Promotions rules, ASA, Cap Code
  • 1 year experience approving Financial Promotions
  • Relationship Building and ability to work with limited supervision

If you are interested in this role please contact Rachel Shaw at Robert Half Office Team on 0117 993 5454.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-notice



Bristol

Whitefriars,
Lewins Mead, Bristol
BS1 2NT
gb
0117 993 5400
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