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Date Added: Wed 14/09/2022

Compliance Officer (Hybrid Working)

Coventry, UK
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Company: FRS LTD

Job Type: Permanent, FullTime

Salary: £23,000 - £26,000 per annum, Negotiable

FRS are recruiting a Compliance Officer to work for a leading financial organisation based in Central Coventry. Reporting into the Head of Finance, you will be responsible for ensuring the business are fully compliant with all legislation and regulations within their industry.

Main Duties

  • Monitoring all operational processes and procedures to ensure that the company complies with all legal legislation, regulations, internal policies, and ethical standards.
  • Keep up to date with, and understand, relevant laws and regulations - these include FCA, ICO, Health and Safety.
  • Assist with the businesses annual certification under the FCA’s 'Senior Managers and Certification Regime’ (SM&CR), including monitoring of the ongoing compliance of FCA schemes and obligations
  • Create, maintain, and update policies and procedures in line with objectives and regulatory requirements. Contribute to robust and effective compliance controls within the organisation
  • Regularly review marketing materials, presentations and websites to ensure compliance with regulatory requirements
  • Managing information flow by researching, recording, and analysing data and information. With a regular flow of information and conducting compliance risk assessments, ensuring that the company runs smoothly. Ensuring that your findings are recorded and followed up with management so that issues can be rectified
  • Maintaining accreditations such as Data Protection - leading on initiatives and reporting requirements and assist in the gathering of internal information in response to regulatory requests.
  • Preparing appropriate compliance reports with regulatory agencies and funders
  • Compliance with Health and Safety regulations
  • Informing, training and educating staff so that they are informed of any legal changes and updates to compliance guidelines
  • Leading on all audits (external and internal) and working cooperatively with external auditors
  • Pre-disbursement or post-disbursement checks, compliance with policies and contractual obligations, and Finance Guarantee Portals
  • Ensure that loan and project documentation are up to date and in line with regulations and legislation
  • Lead and undertake Anti Money Laundering due diligence checks and updating internal processes as required due to company and regulatory changes
  • Review of Companies House and security registrations
  • Maintain incident and issue log and ensure that the issues have been addressed/resolution, communicated and reported to the Head of Finance
  • Credit control coverage and lead on litigation, insolvency and liquidation cases

This role offers 2 days per week working from home!

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