Job Type: Permanent
Date Posted: 26/11/2018
Compliance Officer – Part or Full Time
- Abacus Group have been retained by a very exciting, innovative and growing financial services firm to recruit a part-time or full time Compliance Officer. My client operates in the Investment Management space and have a unique proposition that doesn’t currently exist in Northern Ireland. The right person will have the opportunity to progress to a senior position in this growing company, ideally assuming the CF10 role shortly after joining the company.
- Ensuring legal and regulatory compliance is maintained in a manner that helps maximise business opportunity, as well as ensuring that internal policies are adhered to.
- Update/implement internal compliance policies and processes as necessary.
- Manage the onboarding of new clients (Independent Financial Advisers and Wealth Managers) and the ongoing KYC of existing clients.
- Oversee the review and release of new tranches of investment products, ensuring that marketing literature is compliant with regulations.
- Monitor and ensure compliance with Company policies and processes, putting in place new processes as our client grows into other business areas (eg. fund management)
- FCA Reporting
- Manage the Compliance requirements of new investment banks as they onboard
- Act as point of contact for the external compliance consultancy which we keep on retainer.
- Ensure staff are up to date on new Compliance issues
- Several years of experience in a Compliance related role in financial services
- Good level of knowledge of FCA regulations, MIFID II and financial services in general
- Experience in the field of client onboarding & KYC
- Self-driven to identify issues and own them through to resolution
- Willing to undertake & pass relevant training courses
- Salary will be based upon your experience and fit for the role.
Please submit your application or speak to a specialist consultant in Abacus on 02890313157 for a confidential career discussion. Did you know? Abacus is NI’s only Highly Rated Recruiter with 4.5 Stars for customer satisfaction (Independent review site Feefo).
If you think you have the right skills to join our team, then get in touch. If you know someone returning/re-locating to NI then www.belfastforlife.com holds the information on quality of life, cost of living etc.