Compliance Officer

Salary: £36,000 – £42,000 per year

Pyramid8 have a fantastic opportunity for their client in Selby to join the team in a recently created Compliance role.

I am looking to speak to Experienced Compliance candidates that have come from a regulated background.

This is genuinely a growing business who are looking for a Compliance Officer that is looking for stability and longevity.

Do you come from an Insurance or Financial background? Do you have a proven track record of dealing with the FCA? If yes, then I would love to speak to you.

Permanent – Office based, occasional WFH

The role:

* Managing the on-boarding of AR’s and approved persons with the FCA

* Managing the termination process of AR’s leaving / ceasing to trade

* Managing directory persons applications for registered individuals

* Owning Annual review process with AR’s

* Overseeing changes to websites / marketing materials

* FCA Connect reporting

* RegData reporting

* Direct authorisation applications with the FCA

* Overseeing file checking for regulated files

* Delivering compliance on-boarding training

* Owning and updating policies (TCF, AML etc…)

* Dealing with potential conflict of interest queries from the network

* All general day to day compliance questions

* Developing a robust framework for overseeing all files for non regulated products

* Review suitability reports for commercial deals

* Ad-hoc FCA reporting (recent survey)

To apply for this role:

* Have a proven track record of working within a regulated environment, specifically with the FCA

* Experience of managing process and implementing new ones

* Experience of working within a Compliance role