Compliance Officer – Bristol

Salary: Competitive salary (dependent on experience), plus an exceptional benefits package including: 23 days’ holiday, bank holidays, 12 wellbeing days, support with professional training, 10% employers pension contribution, income protection scheme, private medical insurance, life assurance, healthcare cash plan and cycle to work scheme.

Home Working and Flexibility:  While this role is based in Paradigm Norton’s Bristol head office (Ham Green, Bristol BS20) with easy access to M4/M5 we are happy to facilitate a degree of home working (up to 50% of the time). We are also happy to consider flexible or part-time working arrangements (shorter working days, 4-day week etc.)

The Person: Reporting into the Compliance Manager this is a great opportunity for an ambitious, self-motivated and inquisitive graduate, who is looking for a varied role with a high degree of responsibility, who is motivated by working in an environment of continuous improvement and is keen to embark on a career in the compliance and risk field. Alternatively, the Compliance Officer role may suit an individual who has experience of working in a regulatory environment (financial, legal etc.) and who is keen to further their skills and progress within an award winning and progressive company who invest in, value and reward their partners.

Once trained, responsibilities will include:

  • Compliance Policies and SystemsMaintain all compliance logs and registers, monitor compliance inbox and answer basic compliance queries.
  • Ensure Complaints and Trading Error registers are kept up to date.
  • Compliance CPD and Training – facilitate compliance training within the business, create compliance pathways on Assess on an ongoing basis, manage CPD audit requests from professional bodies such as the CII and CISI and deliver Compliance and Financial Assess/GDPR training for new recruits as part of the induction process.
  • Technology and Compliance Support with PeopleSupport with the administration of the T&C regime, creating reports etc.
  • File Reviews – Ensure clients have been dealt with in accordance with the FCA and all regulatory requirements.   Liaise with external compliance consultants to ensure the review process is executed well, with adequate number and breadth of reviews being completed. Undertake file reviews in-house for ‘sign-offs’ as necessary, providing clear, unambiguous guidance to advisers where themes are arising.   Monitor the key risk areas and escalate any potential issues.  
  • GDPR – Ensure the business remains compliant with requirements under the GDPR and DPA 2018.   Support with delivery of Information Security and GDPR training within the firm.   Investigate any personal data breaches.  Update information security risk assessments and processes.
  • Continuous improvement – identify and develop areas to enhance compliance processes and procedures, to reduce exposure to risk and to promote a proactive governance culture within the firm.

Skills and experience required:

  • Graduate level ability with a positive attitude towards continued professional development (Compliance Diploma, Certificate in Financial Planning etc.)
  • A minimum of 6 months’ work experience gained in a professional office environment.
  • An aptitude for (or experience of) working in a regulatory environment – adaptable, inquisitive, curious, highly organised, methodical, with excellent attention to detail.
  • Excellent communication skills, both written and verbal.
  • Ability to quickly understand existing and new regulatory guidance.
  • Strong technology skills, a confident and intuitive approach to technology.
  • A self-motivated, solutions focused, team player.