Our client is a highly trusted organisation that are undergoing a period of regulatory transformation and are building out their compliance function in line with this change. The firm are hiring an Advisory Officer to develop and update the Compliance Advice Framework and ensure ongoing compliance of the business.
• Agree proportionate, appropriate advice with all business functions i.e., Marketing, Product, Call Centre functions to meet regulatory expectations and best practice.
• Provide Advice and guidance to all business units in regard to completing actions and incidents identified through Internal Audit (3LOD) or Compliance Monitoring activity.
• Horizon scanning and communication through the Regulatory Radar to inform the business of the industry and all regulations from FCA/CMA.
• Complete compliance sign-off of Financial Promotions identifying mandatory and advisory changes.
The Ideal Candidate:
• You will have experience working in a compliance function within a business authorised by the FCA, operating at a senior level with key stakeholders.
• Strong understanding of the Financial Services marketplace and able to demonstrate a broad technical knowledge and expertise covering conduct of business matters.
• Desirable Bachelor’s degree or equivalent industry recognised qualification and willingness to undertake further study if required.
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.
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