Brookson
Compliance Officer
Job Location
Woolston, United Kingdom
Job Description
Brookson is recruiting for a Compliance Officer to join the Brookson Group. This role operates within a matrix management structure, reporting to both the Head of Financial Services within the UKI Operations management team and the General Counsel for the UK under the EMEA Legal & Compliance function.
We have offices in Warrington (our HQ), Bournemouth, and Coventry. Recently, we were acquired by People2.0, a global company specialising in workforce management solutions and global employment services, which means exciting opportunities for career development await you.
Our Warrington office (WA1) is easily accessible by car and a 10-minute walk from the nearest train station. We offer hybrid working, with a minimum requirement of 2 days in the office and the flexibility to work from home the rest of the week. You will also be required to attend meetings at our Coventry office as needed, with overnight stays being a requirement.
What will you be doing as Compliance Officer?
* Manage the FCA relationship, including all FCA reporting requirements.
* Monitor regulatory changes, advising management on proactive compliance actions.
* Oversee the centralised investment proposition and manage compliance for new regulations (e.g., Consumer Duty, Product Governance).
* Develop, implement, and manage all compliance documentation (e.g., suitability reports, advice standards, T&C schemes).
* Conduct and manage AML checks and the full complaints process.
* Perform file reviews, document checks, and assess adviser recommendations across all products.
* Prepare and review business compliance KPIs.
* Ensure literature compliance with FCA Financial Promotions rules and the firm's service standards.
* Regularly review and update financial services policies and processes per legislation.
* Collate advisor reporting and KPI data, and effectively communicate requirements and performance metrics.
* Oversee monthly and annual accounting compliance, including Board Reports and monthly checklists.
* Support the Head of Financial Services with documentation for review visits and other ad-hoc tasks.
* Maintain a compliance risk register, highlighting key risk areas for management.
* Collaborate with the group compliance team to design, train, and implement compliance processes across the business.
What experience and skills will help you thrive as Compliance Officer?
Essential Skills, Experience, and Qualifications:
* Level 4 Diploma / QCF level 4 qualified.
* Experience of developing a strong control environment within the financial services sector
* Proven ability to report with clarity on issues and actions taken to resolve those issues.
* Proven ability to make clear assessments on the priority and importance of reporting
* Have a solid working knowledge of COBS, ICOBS and MCOBS.
Desirable Skills, Experience, and Qualifications:
* Advanced pension qualification
In return for joining Brookson as Group Compliance Officer
* Salary of £45,000 - £55,000 depending on experience
* Hybrid working
* 5% company pension contribution after 3 months
* 25 days’ annual leave, plus bank holidays and your Birthday off each year
* 2 Press Pause days per year (An opportunity to step back, breathe, and focus on your wellness)
* Health care and travel insurance after probationary
* Health Cash Plan
* Free Financial Advice including Mortgages and Savings.
* Wellbeing benefits including discounted gym membership, direct GP access, and an in-house Mental Health First Aid team to name a few.
Next Steps
If you are interested in being considered for this opportunity, please apply with your CV highlighting your relevant skills in relation to the above criteria.
Regardless of the outcome of your application, all candidates will be contacted. If your application is successful, Vicky from our talent team will reach out to you within three working days to guide you through the next steps.
Should you have any questions, please feel free to reach out to Vicky from the Talent Team on (phone number removed)
Location: Woolston, GB
Posted Date: 11/26/2024
We have offices in Warrington (our HQ), Bournemouth, and Coventry. Recently, we were acquired by People2.0, a global company specialising in workforce management solutions and global employment services, which means exciting opportunities for career development await you.
Our Warrington office (WA1) is easily accessible by car and a 10-minute walk from the nearest train station. We offer hybrid working, with a minimum requirement of 2 days in the office and the flexibility to work from home the rest of the week. You will also be required to attend meetings at our Coventry office as needed, with overnight stays being a requirement.
What will you be doing as Compliance Officer?
* Manage the FCA relationship, including all FCA reporting requirements.
* Monitor regulatory changes, advising management on proactive compliance actions.
* Oversee the centralised investment proposition and manage compliance for new regulations (e.g., Consumer Duty, Product Governance).
* Develop, implement, and manage all compliance documentation (e.g., suitability reports, advice standards, T&C schemes).
* Conduct and manage AML checks and the full complaints process.
* Perform file reviews, document checks, and assess adviser recommendations across all products.
* Prepare and review business compliance KPIs.
* Ensure literature compliance with FCA Financial Promotions rules and the firm's service standards.
* Regularly review and update financial services policies and processes per legislation.
* Collate advisor reporting and KPI data, and effectively communicate requirements and performance metrics.
* Oversee monthly and annual accounting compliance, including Board Reports and monthly checklists.
* Support the Head of Financial Services with documentation for review visits and other ad-hoc tasks.
* Maintain a compliance risk register, highlighting key risk areas for management.
* Collaborate with the group compliance team to design, train, and implement compliance processes across the business.
What experience and skills will help you thrive as Compliance Officer?
Essential Skills, Experience, and Qualifications:
* Level 4 Diploma / QCF level 4 qualified.
* Experience of developing a strong control environment within the financial services sector
* Proven ability to report with clarity on issues and actions taken to resolve those issues.
* Proven ability to make clear assessments on the priority and importance of reporting
* Have a solid working knowledge of COBS, ICOBS and MCOBS.
Desirable Skills, Experience, and Qualifications:
* Advanced pension qualification
In return for joining Brookson as Group Compliance Officer
* Salary of £45,000 - £55,000 depending on experience
* Hybrid working
* 5% company pension contribution after 3 months
* 25 days’ annual leave, plus bank holidays and your Birthday off each year
* 2 Press Pause days per year (An opportunity to step back, breathe, and focus on your wellness)
* Health care and travel insurance after probationary
* Health Cash Plan
* Free Financial Advice including Mortgages and Savings.
* Wellbeing benefits including discounted gym membership, direct GP access, and an in-house Mental Health First Aid team to name a few.
Next Steps
If you are interested in being considered for this opportunity, please apply with your CV highlighting your relevant skills in relation to the above criteria.
Regardless of the outcome of your application, all candidates will be contacted. If your application is successful, Vicky from our talent team will reach out to you within three working days to guide you through the next steps.
Should you have any questions, please feel free to reach out to Vicky from the Talent Team on (phone number removed)
Location: Woolston, GB
Posted Date: 11/26/2024
Contact Information
| Contact | Human Resources Brookson |
|---|