Group Compliance Officer

THE COMPANY:

Our client is an award-winning independent estate agency firm.  This role will be Chelmsford based, requiring 5 days in the office.

THE RESPONSIBILITIES:

• Assist with complex KYC/CDD queries from different business divisions.  Using different screening software and research skills to verify KYC/CDD and potential matches for PEPs, Sanctions and adverse media.  Conducting more in depth Enhanced Due Diligence for high-risk clients including source of funds and source of wealth checks.
• Assist with Data Protection queries, including dealing with Data Subject Access Requests and Data Breaches and keeping accurate records for all responses, risk assessments and impact assessments.
• Scope and undertake monitoring reviews across different business divisions to ensure compliance with regulatory requirements.
• Conduct ongoing file reviews for the Financial Services division post-sale reviews of client files to ensure advice suitability and regulatory compliance. Providing feedback to advisers in a supportive and professional manner and monitoring outstanding actions.
• Provide Management Information in a timely and accurate manner covering outcomes from monitoring reviews.
• Review regular marketing material for financial services to ensure compliance with regulatory requirements.
• Organise regulatory training sessions for new joiners and refresher sessions for existing employees.
• Assist with investigating and responding to Financial Services and Data Protection related complaints and keep complaints records up to date.
• Undertake reporting to the NCA and FCA.
• Keep up to do date records for Structure charts, job descriptions, breaches registers, complaints registers, marketing approvals.

EXPERIENCE REQUIRED:

• Educated to degree level
• Happy to work towards other professional qualifications (CISI or ICA)
• Compliance experience with knowledge and understanding of either FCA or GDPR requirements desirable
• Good analytical and decision-making skills
• Confident dealing with colleagues at all levels within the business
• Ability to prioritise and good time manage
• Proficient in Microsoft Office suite
• Good report writing

For further information please contact Duncan Jeffery