As a Compliance Advisory Executive, you provide technical support and guidance to the business in relation to policies, procedures and training.
You will play an important part in delivering new business and change projects, advising and providing specialist regulatory support to colleagues across the organisation, ensuring that company deliver services with regulatory and legal compliance as a fundamental part of their design.
Key responsibilities include:
• Working alongside colleagues across the business to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices
• Building strong & effective working relationships across the business to help embed and promote a compliance and risk culture across the business.
• Assisting in the development of training and reference material and standards & procedures documentation.
• Attending and contributing to Client service review meetings discussing performance, quality and regulatory change.
• Maintaining and updating Compliance frameworks, policies and procedures in line with regulatory change or clients’ requirements.
• Compiling compliance reports for both internal and external stakeholders.
• CeMap qualified or equivalent
• Working in a financial services’ regulatory environment (3+ years)
• Detailed knowledge of FCA, CCA, DPA rules and guidance and FCA complaints process (DISP)
• Maintaining awareness of regulatory developments whist assessing the impact and implementing changes
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.