Compliance & Risk Adviser

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  • Salary:

    c.£25,000 - £30,000 + Benefits

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  • Published:

    almost 3 years ago

Our client is a leading financial services business who are looking to recruit a Compliance & Risk Adviser. The role will be working closely with the Head of Compliance in maintaining the department risk register and indicent management. 

This Client does not provide sponsorship.

The role-

  • Support the Head of Compliance & Risk with the updating and maintenance of the department risk registers, identifying any emerging risks for escalation or committee reporting
  • Manage the incident reporting process ensuring that the Head of Compliance & Risk and wider business are aware of regulatory breaches and helping resolve incidents
  • Reviewing suspicions raised from referencing and legal and claims, undertaking in-depth investigations on information provided, with detailed outcomes and actions communicated back to the relevant departments. Where necessary, handling the reporting of the suspicious activity to external agencies
  • Respond to all data protection requests and complaitns in accordance with ICO guidelines
  • Taking responsibility for the sanctions checking procedures ensuring the business’ regulatory obligations are met and can be evidenced
  • Assisting the Senior Compliance Officer in delivering the compliance plan through support for check the checker monitoring
  • Help maintain a strong assurance culture and to follow appropriate procedures to monitor and control risk.

Key Requirements-

  • Minimum of 2 years experience working within a FCA regulated environment
  • Demonstratable knowledge of risk management, including indentification of risks, mitigation controls and scoring methodologies.
  • A’Level or equivalent standard of education