Cheshire (Hybrid)

High Competitive Salary

​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:

• Development of regulatory requirements traceability matrices, designed to inform the first line of defence of their regulatory and conduct obligations.

• Support processes to determine that any FCA regulatory engagement within the Group is appropriate and that any communication with the regulator is captured and recorded.

• 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.

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