Compliance Officer

at  Mash Group

EXPERIENCE AND QUALIFICATIONS

• Proven Experience: Demonstrable experience in a compliance role within the financial services sector.
• Knowledge of FCA Standards: In-depth understanding of FCA standards and regulations.
• Reporting and Record Keeping: Excellent knowledge of reporting procedures and record-keeping practices.
• Communication Skills: Outstanding communication and interpersonal skills.
• Pressure Management: Ability to work under pressure and meet deadlines.
• Orientation: Solution and service-oriented mindset.
• Technology Proficiency: Technology-savvy with a willingness to embrace new systems and software.
• Analytical Skills: Strong analytical and decision-making skills.
• Influencing Skills: Strong influencing abilities.
• Professionalism: Discreet and professional in all communications.
• Emotional Intelligence: High level of emotional intelligence.
• Listening Skills: Effective listener.
• Constructive Challenge: Willingness to challenge in a constructive and non-confrontational manner.
• Organisation and Prioritisation: Organised multi-tasker with effective prioritisation skills.
• Adaptability: Adaptable and flexible approach.
• Self-Motivation: Self-motivated, able to work independently and as part of a team.
• Team Player: Ability to integrate seamlessly into a highly successful company.

GENERAL ROLE RESPONSIBILITIES

• Day-to-Day Compliance Function: Oversee the daily operations related to compliance within the company.
• Regulatory Interpretation: Interpret and communicate the latest relevant regulatory, legislative, and industry standard changes.
• Policy Creation and Update: Develop and update company compliance policies and procedures.
• Staff Training: Conduct training to ensure the company’s internal structure adheres to the FCA’s guidelines.
• File Checking: Ensure a consistently high level of service is provided to clients through regular file checks.
• Control Systems Development: Develop and oversee control systems to maintain adherence to regulations and internal policies.
• Control Efficiency Evaluation: Continuously evaluate and improve the efficiency of controls.
• Procedure Revision: Revise procedures and reports as necessary.
• Adviser Meetings: Conduct one-on-one meetings with advisers.
• KPI Monitoring: Monitor individual key performance indicators.
• External Compliance Audits: Manage external compliance audits.
• Reporting: Report to the compliance director.
• Suitability Reports: maintaining suitability report templates to reflect changing legislative, regulatory and taxation landscape