Back to Job Search

Compliance Lead

  • Location: Leeds
  • Salary: £40,000 - £45,000 per year
  • Job Type:Permanent

Posted almost 2 years ago

  • Sector: Compliance
  • Contact: Mike Ayres
  • Expiry Date: 17 June 2022
  • Job Ref: MA/19055

Well respected, ethical and long standing Financial Services business located in Yorkshire, are looking to hire an experienced Compliance Lead to join a small but established team. Reporting directly to the Chief Risk Officer, and working within the firms 2nd line of defence, the role holder will oversee the management and delivery of the compliance and conduct agenda with responsibility of interpreting complex regulatory requirements into plain English.

Key Responsibilities:

• Be the subject matter expert in compliance and conduct risk and ensure the firm complies with current and emerging regulation and meets its regulatory obligations.

• Lead the firm’s regulatory horizon scanning and interpretation of new and amended legislative requirements, informing debate on Consultations where appropriate.

• Support Regulatory liaison, managing requests for information, investigation’s and breach reporting as appropriate.

• Collaborate with all business areas to promote a compliance and conduct aware culture

• Provide compliance and conduct risk management expertise, advice and guidance to operational service delivery functions and specialist functions.

• Creation and maintenance of Compliance and Conduct Policies and Procedures.

• Be the subject matter expert for data protection and GDPR including liaison with the ICO as required.

• Drive the development and ongoing maintenance of Risk & Compliance owned policies and procedures.

• Production of insightful compliance and conduct MI for Senior Management and Governance Committees, highlighting relevant and key compliance issues and metrics adding quantitative/qualitative risk analysis

The Ideal Candidate:

• Experience in a compliance role within financial services (PRA/FCA regulated).

• Experience of interpreting and converting legislative requirements into policy and procedural documentation.

• Experience of adopting a risk based and proportionate approach to issue resolution.

• Experience of managing risk and compliance issues.

• Experience of embedding a culture of risk and compliance awareness.

• Adept at presenting complex information in an easy to digest format