Compliance Officer

600 328 Kind Consultancy

Website KindConsultancy Kind Consultancy

National Financial Services network

Kind Consultancy is working with a national Financial Services network which is now seeking a Compliance Officer to join their team in a flexible role, predominantly home working and requiring occasional travel to their London head office.

The Compliance Officer will focus on providing Compliance support to the organisation’s member firms through a robust Compliance function, with key responsibilities including:

  • Making sure member firms are keeping up to date with audit requirements and are implementing required changes
  • Auditing applications from firms applying to become members
  • Ensuring audit requirements are met and continually assessing and improving the efficiency of internal policies
  • Contributing to the maintenance of a set of operational compliance tools
  • Acting as a subject matter expert on Compliance matters, answering queries from colleagues
  • Supporting risk-based monitoring of member firms, carrying out supported Compliance reviews and completing scorecards
  • When necessary, determining appropriate remedial actions for member firms

Our ideal candidate for the Compliance Officer opportunity:

  • Has demonstrable knowledge of FCA regulations their implementation in business operations
  • Has substantial experience of Compliance audits and reviews
  • Has a track record of evaluating regulatory requirements and supporting businesses through their Compliance functions
  • Has a good understanding of UK commercial lending and the intermediary/broker market and distribution channels
  • Is an excellent communicator with strong presentation, coaching and teaching skills
  • Is analytically minded, able to interpret complex regulation and draw out the practical implications
  • Having good knowledge of Commercial Finance and Information Technology (including competence tracking) would be highly desirable

If you have the skills, knowledge and experience we’re looking for and are interested in the Compliance Officer role, please apply with an updated CV today.

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