Our client is a leading Financial services firm who are recruiting an astute compliance individual to ensure fair treatment of customers, FCA compliance guidance and other applicable regulatory requirements are met.
•Assist with implementing, policies, procedures and processes necessary to maintain a robust culture of compliance. Ensure that enterprise-wide initiatives are undertaken with consideration of all applicable regulatory requirements, with particular focus to FCA Consumer Credit obligations.
•Maintain policies and procedure documents in line with all regulatory and business requirements.
•Conduct compliance related activities necessary to maintain proper licenses.
•Conduct Compliance Assurance Site visits with sales based associates and Appointed Representatives.
•Performance and review or monitoring and business processes. Provide reports of findings and remediation plans to management team.
The Ideal Candidate:
•A level of compliance experience within a financial services environment.
•A minimum of GCSE level education or equivalent professional qualification and/or industry experience.