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Compliance Advisory Officer

  • Location: Cheshire
  • Salary: Highly Competitive Salary per year
  • Job Type:Temporary

Posted over 2 years ago

  • Sector: Compliance
  • Contact: Richard Abelson
  • Contact Email: rabelson@merje.com
  • Expiry Date: 25 November 2021
  • Job Ref: RA/18210

​Our client is an established financial services organisation that are recruiting a Compliance Advisory Officer to support and advise the business on regulatory matters.

Key Responsibilities:

• Oversight of regulatory MI and reporting through the appropriate governance in a timely and accurate manner, ensuring appropriate escalation of regulatory and conduct risk and issues to senior managers.

• Ensuring the firm holds necessary authorisations and permissions for the business activities undertaken. Ensure senior individuals who are performing roles requiring individual approval hold the appropriate SMF(s) for responsibilities.

• Oversight of 2nd line of defence and approval of marketing materials to ensure compliance with regulatory obligations.

• Horizon scanning activity to ensure the firm is kept up to date on the appropriate regulatory changes.

• Proactively identify operational improvements in the processes, controls and operating model for the wider Compliance function and specifically the Advisory function and own the successful implementation of these.

The Ideal Candidate:

• Mortgages background under an FCA regulated environment in a compliance advisory capacity.

• Holistic working knowledge of the regulatory handbooks and associated guides and codes relevant to non-bank lenders.

• A natural appetite for horizon-scanning that can think laterally about any potential consequences for the company.