c. £45,000 + benefits
5 months ago
Our client is a large and well respected Financial Services organisation who are looking for a monitoring / assurance professional to join the firms Compliance team.
The primary focus of the role is to provide assurance over the compliance of the business with FCA and Data Protection Act principles, ABI and JMLSG requirements. Additionally, the role will require the candidate to provide enhanced and proactive support to business areas on FCA Compliance matters with the aim of further deepening awareness of FCA requirements throughout the business and enhancing the Regulatory Risk control environment.
- Undertake allocated Compliance Assurance reviews in line with the agreed plan to provide independent assurance to the Board over the compliance of the business with regulatory and legislative requirements
- Ensure that regulatory risks are identified with a particular focus on the identification of potentially unfair customer outcomes
- Contribute to the content of the Risk Universe and preparation of a risk based assurance plan, anticipating potential risks arising and providing objective input to the identification and prioritisation of assurance activity
- Identify risks or opportunities and engage the business in formulating pragmatic, customer focussed and commercial solutions that minimise the risks and maximise the opportunities
- Develop and maintain Compliance policies, guidelines and procedures which meet internal standards and applicable FCA requirements
- An understanding of auditing and/or compliance monitoring techniques
- Experience of Financial Services and FCA requirements
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.