Compliance Assurance Officer (Exclusive)

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    £40,000 - £45,00 + benefits

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  • Published:

    8 months ago

The Client-

My client is a long established and highly regarded financial services organisation.

The role-

An exceptional opportunity has arisen for an experienced Compliance Consultant with experience of providing second line assurance through the delivery of a firms’ Compliance Monitoring Plan

This role delivers an assigned programme of testing and monitoring activity across a range of regulatory handbooks; engaging with front and back office departments to ensure the firm can demonstrate it remains compliant with its regulatory obligations, delivering suitable and appropriate outcomes for clients.

Key Resposnibilities-     

  • To carry out compliance monitoring of the functions carried out in front and back office departments against relevant rules and egulations applicable to the Group, including COBs, CASS and SYSC
  • To actively manage and verify all actions being delivered by the business as a result of the compliance monitoring activity undertaken
  • To undertake daily monitoring activity of trade as part of ongoing market abuse monitoring.

Key Requirements-                                                                                                                            

  • Understanding of suitability, client money and general principles of an effective banking control framework. 
  • Familiarity with COBs, CASS and SYSC
  • Ability to take a section of regulation and design, then deliver testing against the rules and expectations.
  • Experience of providing 2nd line assurance work against regulatory rules and regulation

The role is being recruited on a fixed term contract for a period of 15 months to cover maternity leave. Salary range is broad and will be commensurate with experience but will reflect the significance of the role.