Compliance Officer - Ysterplaat
My client who is a leader in the Wealth industry is seeking a Compliance Officer to join their team to oversee the Group Compliance requirements implementing and monitoring procedures. Do you have your RE5 and RE1? In this role, you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards. You will develop, implement, and oversee comprehensive compliance programs to mitigate risks and promote ethical conduct within the company. Through continuous monitoring and assessment, you will identify and address potential compliance issues, providing guidance to the leadership team to maintain a culture of compliance. You will collaborate with various departments to educate and train employees on compliance requirements. Your commitment to upholding the highest ethical standards will contribute to the integrity and reputation of the company.
Responsibilities:
- Assuring compliance with the FSCA (Financial Service Conduct Authority) is always adhered to through close collaboration with stakeholders, key individuals, and external compliance officers
- To identify and brief key individualsand exco on all forthcoming regulation changes and impacts on the business
- Liaison with external compliance consultants
- Preparation of board packs and compliance reports every quarter
- Compliance review of all NewBusiness and Servicing cases submitted for the group
- Submission of Fund Selection and Withdrawal cases to various providers
- Maintaining and Administering the Representative Register
- Maintaining and Administering the Competency Register (e.g.CPD and Supervision tracking)
- Fit and Proper checks for New Wealth Managers
- Ensuring all New Wealth Managersare provided with a "Starter Pack" (e.gRep Disclosures drawnup, RMCP Emails to be sent, Submission ofMasthead Applications, Drawing up of Supervision Forms)
- Ensuring all Quarterly declarations havebeen sent and received
- Due Diligence and review of third-party contracts including terms of business with various providers
- Ongoing compliance monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations
- Audit support - Provision of compliance requirements for internal and external a
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