We are recruiting for a Compliance Officer to join our Risk & Compliance team based in our Bristol Head Office. You will be part of a successful team responsible for all Risk & Compliance across our 6 offices in the UK. You will continue the enhancement and implementation of operational risk policies and risk management systems across the firm
In return we will invest in you. We want you to be successful. You will receive a bespoke, on-going training programme to ensure you develop your commercial and technical skills to allow you to deliver the varied workload to a high standard. As a member of our Support team you will be a vital part of our continued success. There isn't an "us and them" mentality and you will be recognised for your hard work and support.
As a Compliance Officer, your role is varied and includes:
- Acting as SMF16 Compliance Oversight Function with the prescribed responsibilities of performance by the firm of its obligations in respect of notification and training of the Conduct Rules
- Reporting to the management structure about the firm's compliance with the regulations and rules that apply to a firm as set out in the FCA handbook and in particular adherence to the SMCR regime, COBS, MCOB and SYSC..
- Supervising the Business Support unit to ensure the production of suitable data sets required to enable and inform the FCA reporting regime.
- Assist with the submission of the regular reports required by the FCA reporting regime
- Creating and implementing plans to meet conduct risk and regulatory requirements and continue to drive through change in FSDI to make sure that FSDI remains compliant with its regulatory obligations and has a culture of fair consumer outcomes and treatment of customers.
- Actively monitoring regulatory requirements of clients, regulators and others to assess any impact on our current approach and/or service for FSDI or need for future change (emerging regulatory risk)
- Maintaining policies and procedures, systems and controls to ensure that TLT: remains regulatory compliant and are regularly reviewed
- Assessing our delivery of conduct risk and assisting in embedding key regulatory, SRA and client requirements into the services we provide and our culture
- Assisting with the completion of internal audits and be involved in root cause analysis, calibration exercises and implementing lessons learned
- Delivering training on key regulatory issues
- Assisting with completing our external client audit requirements and questionnaires
- Facilitating and co - chairing the FCA SMCR Meetings, and assisting with implementing outputs
The Ideal Candidate
Our employees are talented people, distinguished by technical excellence, with a willingness to embrace team working and a passion for client service. You will be able to demonstrate a similar supportive, flexible and driven ethos and will have accumulated the following experience and skills:
- Experience of the FCA Approved Persons function and the new SMCR regime with a can do attitude with good influencing and organisational skills
- A broad and detailed knowledge and sufficient understanding of the financial services industry and regulatory framework to act as an internal adviser /point of contact for the firm . Expertise in vulnerable customers, complaints and mortgage products and regulation would be useful
- A working knowledge of the Risk and Compliance issues a legal team will have, and in particular information security issues
- Ability to build and maintain collaborative relationships with others
- Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory and best practice requirements
We value our employees highly and we want you to feel valued. You will receive a competitive basic salary with an annual pay review. You will also have access to an extensive range of benefits via our flexible benefits scheme including 25 days holiday (which will increase to 30 days based upon length of service) and private medical insurance.
About the Firm
We’re an ambitious UK law firm built around the needs of our high profile clients. With over 1000 employees and 100 partners across our six UK offices, we’ve grown considerably in the last three years – and so have our revenues. Open-minded? Definitively. Forward-focused? Absolutely. An energetic firm with an entrepreneurial, collaborative culture, we’re always looking to recruit highly talented individuals with the drive to succeed. So if you’re dynamic, determined and looking for a firm where you can develop your skills, join us and we’ll give you everything you need to thrive.