Compliance Officer

Our growing client is looking for a Compliance Officer to assist with compliant processes and procedures along with identifying and mitigating risks. Main Responsibilities: Ensure awareness and compliance of regulatory responsibilities and ensuring that the consumer outcomes are at the core focus To provide support to the Compliance Manager by conducting Focused Audits of the activities of individuals and firms where there is evidence of the firm or individual being of a risk to the company To conduct Induction, Monitoring, Investigation Remedial and Exit Visits on Firms using pre-prepared check sheets and any special instructions agreed by the Compliance Manager Accurately recording outcomes on the in-house systems Review client files to confirm suitability, good consumer outcomes and adherence to regulatory and company requirements Identify and require remedial action from members firms where necessary To identify any breaches or misconduct by firms and individuals and report any training/compliance failures to the Compliance Manager To provide feedback and prepare action plans for firms and individuals following any audit and to complete a risk evaluation of everyone within the firm and an over all risk assessment based upon the findings of any audit To provide guidance to firms and individuals in setting up and maintaining good business and compliance practices and p…