Job Description

Are you looking for your next step in a challenging and rewarding career? Do you have strong attention to detail with a can-do attitude? If so, we'd love to hear from you.

We are looking for an individual with a minimum of 2 years' experience working within a Compliance Function, conducting similar activities to those outlined below, preferably in a Wealth Management/ Financial Planning environment, to join our team based in Rochester, as a Compliance Officer. There's free on-site parking available and we take a hybrid approach to working with a minimum of 3 days in the office, once probation has been successfully passed.

Salary in the range of

32,500 - 37,500 per annum Depending on Experience

.

Role:

You will be reporting to the

Compliance Manager

and will provide regulatory support and guidance to the business, fostering client outcome focus and a compliant culture.

Key Responsibilities:

- Supporting the Thematic Review programme

- Reviewing and approving marketing materials, websites and presentations to ensure compliance with regulations

- Creation of new and review of existing internal policies in line with current regulation

- Administration and Certification processes

- Investigating referrals from the business

- KYC due diligence monitoring and investigation

- Gather data for Mi to demonstrate adherence to relevant Regulations including Client outcomes

- Monitoring and reporting on regulatory changes affecting the business

- Assisting in the gathering of information in response to requests by the Regulator

- Educating employees on compliance and client outcomes

- To adhere to the FCA's principles for business

- To adhere to the individual conduct rules in COCON

We're looking for individuals who must have:

- The right to work in the UK

- Minimum of 2 years' experience working within a Compliance Function, conducting similar activities as outlined above, preferably in a Wealth Management/ Financial Planning environment

- Experience of conducting Thematic/Client outcome reviews

- Good knowledge of FCA regulations, including Consumer Duty

- Strong verbal, written and interpersonal skills including stakeholder management

- Strong client outcome focus

- Pragmatic approach, able to understand not just what the regulations say but what practical implementation looks like

- The ability to explain complex sets of rules / translate regulations into clear language to all levels of staff

- Strong investigative skills and ability to quantify decision making

- High accuracy & attention to detail

- Analytical thinking and problem solving

- Self-motivated with strong organisation and time management skills

Desirable but not essential:

- ICA or similar compliance qualifications

- Level 4 Diploma in Financial Planning

- Knowledge/experience of Pensions

About us:

To enable us to deliver the best possible service to our clients and create a positive working environment, as a company we abide by these core values:

Raising the bar - We continuously improve Offering clarity - We make things clear and simple Putting people first- We always act in their best interests Going the extra mile - We always strive for excellence Fresh thinking - We continuously challenge the status quo Working together - We value each other highly
Harbour Rock Capital is a specialist financial advisory business focusing on pensions and retirement which looks after over 500m in pension assets for more than 8,500 clients.

Founded in 2017, we help clients get the best out of their pensions, both now and in the future. Whether that be through accessing pension benefits, reducing charges, or improving their performance, we're focused on delivering specialist financial advice along with a great level of service.

In a fast-paced industry that is rapidly evolving, we are at the forefront of providing a proposition that hasn't been easily available to the everyday person until now. We need to keep providing great customer service as we grow, and as the environment and technology around us changes. We can't do that by standing still.

Based, in Rochester, Kent, we employ over 60 likeminded people that strive to do an exceptional job for our clients. In turn we create a positive nurturing environment in which they can thrive - from entry level roles with training, development, and career progression available through to highly qualified experienced industry professionals.

A great place to work must continue to hire great people, so, if you think you could be one of them, we want to hear from you.

As well as a competitive salary, you'll receive the following benefits:

25 days holiday on top of public holidays - plus an extra one on your birthday Long service holiday - additional holiday after 2,5 and 10 year's service Free mortgage and protection advice with Censeo Financial Tastecard membership Company pension with the same excellent discounts we negotiate for our clients Life assurance Critical illness cover Income protection Private medical insurance Private dental cover (contributory) Free eye test Friends and family discount on our services
Harbour Rock Capital is a real Living Wage employer (https://www.livingwage.org.uk/)

Schedule:

8 hour shift Monday to Friday
Job Types: Full-time, Permanent

Pay: 32,500.00-37,500.00 per year

Benefits:

Company events Company pension Free parking Life insurance On-site parking Private medical insurance Work from home
Application question(s):

How many years of experience do you have working within a Compliance Function, conducting similar activities?
Work Location: Hybrid remote in Rochester ME2