Brookson Financial have an exciting opportunity for an experienced Compliance Officer to join their thriving financial services business.
You will be fully responsible supporting the work of our financial advisors by carrying out a variety ofcompliance duties in the Financial Services department.
You will report directly into the Head of Financial Services and work closely with the teams within Brookson Financial, supporting the integration with the Brookson Group byensuring the company remain compliant
Brookson Financial were acquired by Brookson about 4years ago. Since joining the Brookson Group they have experienced significant growth and now boast specialist teams for mortgages, protection and investment advice. We're passionate about developing people and heavily invest in qualifications within Financial Services to help our employees progress.
What you will do
- Carrying out file reviews, checking all documentation, reviewing adviser recommendations to clients in relation to all products
- Monitoring AML checks
- Preparing and reviewing business compliance KPIs
- FCA reporting duties
- Oversight of Introducer Agreements
- Reviewing and signing off literature against the firms’ services and FCA Financial Promotions rules
- Performing regular reviews and updating of financial services policies and processes in line with relevant legislation.
- Collating the reporting and KPI requirements for advisors, creating effective communications to ensure all staff are aware of the requirements and performance to date
- Monitoring compliance with monthly and annual accounting reporting including monthly checklist and biannual Board Reports
- Supporting the Group Compliance Officer with the documentation of review visits and any other requirements
- Maintaining a register of issues for consideration by firm management which highlights main risk areas in this area of compliance
- Supporting the Management Team to develop and deliver training on key areas by the identification of generic issues or new regulations
The ideal candidate will have
- Experience of developing a strong control environment within the financial services sector
- Have the ability to report with clarity on the issues identified and actions needed to resolve those issues.
- Be able to make clear assessments on the priority and importance of reporting
- Have a solid working knowledge of COBS, ICOBS and MCOBS.
What Brookson look for
- Exceptional communication skills, both written and verbal
- Strong organisation skills
- Proven ability to work on your own imitative
- A "can do" attitude
- Personable with the proven ability to build strong working relationships
What Brookson can offer you
- Annual bonus/performance bonus
- 5% employer pension contribution
- Study Support
- 23 days annual leave
- Buy and sell holiday scheme
- Birthday day off
- Structured Training
- Free parking
- Health Care cover
- Life Assurance cover
- Employee Discount Scheme