1. Compliance Monitoring Officer
2. Financial services
About Our Client
This firm specialises in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.
Job Description
As Compliance Officer, you will play a key role in ensuring that the firm adheres to all regulations, laws and other industry standards. Your key responsibilities will be:
3. Carrying out formal compliance reviews according to company policies
4. Taking a best practice approach to collecting, assessing and reporting on data
5. Reporting findings and working with management to implement plans
6. Identifying areas for improvement from a compliance perspective
7. Providing compliance advice and supporting the business on advice for compliance requirements
8. Ensuring processes and policies are adhered to the correct regulatory requirements
9. Being the compliance representative at governance forums
10. Researching new rules and guidance, assessing the implications on the business and translating into action through monitoring the implementation
11. Ensuring all GDPR policies are applied
12. Preventing financial crime by supporting the MLRO to ensure the correct frameworks are implemented and followed
13. Oversight of financial crime structures such as AML, fraud, counter-terrorism etc
The Successful Applicant
To be successful in the Compliance Officer role, you must have:
14. Studying towards, or full qualification, of a compliance, insurance, risk - related qualification
15. Good understanding of the FCA sourcebooks and PRA handbook including ICOBS, COBS, DISP, SUP, Prod, APER, FIT
16. Be proactive in approach, well organised and able to manage both routine and ad hoc tasks
17. Excellent communication skills
18. Excellent analytical skills
19. Experience of risk management and/or internal audit would be desirable
What's on Offer
As Compliance Officer, you will get:
20. £35,000-40,000
21. 25 days holiday
22. Company pension scheme
23. Working from home 1-2 days a week
24. Social events
25. Healthcare
26. Plus many more!