About Us
3173 is a leading Professional Services Group of pensions companies with clients throughout the UK, who are currently seeking a Compliance Officer on a full-time, permanent basis. This is an incredibly exciting time to join the organisation, which has recently received investment to support their ambitious growth plans over the next number of years.
About You
We are looking for a Compliance Officer who will play a pivotal role in driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency. In this role, you will report to the Head of Audit, Risk and Compliance and will work closely with key stakeholders throughout the organisation.
You will oversee and monitor adherence to 3173 Group policies and procedures, create and maintain compliance program related materials, and work collaboratively with the business by providing regulatory compliance assistance and assurance. Your goal will be to ensure we operate in a compliant, legal and ethical manner while meeting our business objectives.
Responsibilities
* Develop and implement an effective compliance program.
* Create sound internal controls and monitor adherence to them.
* Draft and revise company policies.
* Provide advice and credible challenge to stakeholders on application of relevant policy requirements.
* Undertake monitoring reviews and checks to ensure compliance risks within 3173 are effectively identified, measured, monitored, and controlled.
* Conduct data protection impact assessments (DPIAs) and Third-Party Risk Assessments to mitigate potential privacy risks.
* Support the development and maintenance of relationships with key regulators and assist with regulatory reviews.
* Understand regulatory requirements related to the Financial Conduct Authority and The Pensions Regulator.
* Collaborate with external auditors and third-party suppliers when needed.
* Keep abreast of regulatory changes and internal policy changes.
* Assist with the preparation of monthly compliance reports.
* Additional duties as assigned.
Experience
* Proven experience as a Compliance Officer or Compliance Manager.
* Expertise in Compliance laws, rules, regulations and risks (e.g. Anti-Money Laundering, Data Protection).
* Familiarity with The Pensions Regulator and Financial Conduct Authority regulatory requirements.
* Prior experience in operational risk, testing, or audit preferred.
* Excellent written, verbal and analytical skills.
* Highly motivated self-starter, flexible, innovative and adaptive.
* Strong attention to detail, team-oriented, and organized.
* Integrity and professional ethics.
Circumstances
Working hours: Monday to Friday, 37.5 hours per week with additional hours as required. All roles are subject to a six-month probationary period and all prospective employees are required to complete an Access NI check. As part of the pre-hire process, the successful candidate will be subject to reference checking and security vetting.
We are an Equal Opportunity Employer.
Applying with a disability or long-term health condition?
We are committed to increasing the representation of disabled colleagues and want to remove any barriers that may hinder candidates with disabilities from applying. If there is support or an adjustment that we can provide to enable you to be at your best during the recruitment process, please advise us in good time so we may make suitable arrangements.
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