Welcome to North Oak Recruitment, dedicated to delivering what we promise - a quality recruitment service. Whether you are a financial services company looking to recruit staff, or whether you are an individual looking for your next career move within financial services, you can rest assured that you will be in the safe hands of an expert, trained and experienced in managing all of your recruitment needs and putting your interests first.  Call us now for Financial Services vacancies.
Compliance Officer
Salary Area Job Ref Consultant Sector
attractive salary and benefits Leicestershire AL720 Angela Liscombe Compliance


Compliance Officer – Wealth Management and Pensions

Leicester (our ref AL720)

Attractive Salary and generous benefits


My client is offering a fantastic opportunity for an experienced individual to join the Compliance Team, within this well established Pensions and Wealth Management organisation.


v  Recording, acknowledging and investigation of regulated and ‘other’ complaints

v  Training and Competence activities throughout the Group

v  Treating Customers Fairly (TCF) throughout the

v  Selling Practices throughout the Group

v  Regulatory ‘Returns and Notifications’ (with Group Compliance Director).

v  Assist in ensuring that the Group implements fully its risk based compliance and financial crime procedures

v  Assist in ensuring that the Group collects and retains up to date Management Information (MI)

v  Assist the Group Compliance Director in ensuring that adequate Professional Indemnity (PI) insurance cover is in place at all times.

v  Assist in maintaining accurate, detailed, and up to date compliance records across all areas of Group business

v  Respond to requests for information from the FCA/TPR/FOS/POS/FSCS/SFO/HMRC

v  Assist the Group Compliance Director to produce a quarterly ‘Compliance Report’ for the Group Board Meeting

v  Assist in managing the relationship with the FCA to ensure the requirements of Principle 11 are continually met

v  Comply with the Financial Services and Markets Act 2000 (as amended), the FCA Statements of Principle & Code of Practice, and the relevant FCA rules, at all times

v  Comply with the relevant Compliance, Treating Customers Fairly (TCF), Training & Competence (T&C), Anti-Money Laundering (AML), Anti-Bribery and Corruption and Financial Crime Procedures of the Group at all times


Relevant Skills and Knowledge


v  Broad base of compliance knowledge especially in the pensions market

v  A clear understanding and experience of regulated complaints handling

v  Specific understanding and knowledge of the FCA COBS/SYSC/CASS/PRIN/GABRIEL rules and reporting requirements

v  Good understanding of other relevant legislation, including that related to financial crime.

v  CII qualifications will be a distinct advantage, in particular, relevant Compliance qualifications


If this role is of interest and you have the required skills and knowledge, then please apply in confidence with an up to date CV, or call Angela Liscombe at North Oak Recruitment for a further discussion.

 North Oak Recruitment have worked very hard to find me a position.  Angela has been friendly and professional, she listened to what I was looking for and I would recommend her to anyone looking for a new job. 
Sharon M.
 Angela is second to non in her knowledge of the financial services industry across the Midlands.  Having been made redundant I was feeling unsure about my future but Angela was very reassuring and quickly got to work for me.  Within 3 weeks, I had the perfect role and I can't recommend Angela highly enough - Thank You!
Kate M.