Our client is a leading Financial Services company who are looking for a Compliance Officer to support the Compliance Manager and the Risk and Compliance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions.
Key responsibilities include:
To assist with / carry out the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML / Fraud prevention, data security, data protection, complaints, health and safety, and any other regulation / guidance as required.
To carry out, evidence and report on 2nd line Compliance monitoring activity and Monitoring reviews, to ensure compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme and to provide feedback to relevant Managers.
To interpret regulation / legislation in order to provide advice, support and guidance (as appropriate) to the business in the implementation of regulatory / legal requirements to ensure full compliance.
To ensure that regulatory requirements in respect of Anti Money Laundering (AML) and Terrorist Financing are complied with.
To carry out / assist in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML / Terrorist Financing and Fraud).
To check mortgage products, Illustrations and APRCs, to ensure compliance with regulatory and statutory requirements and provide appropriate feedback and advice to relevant staff.
Previous experience and qualifications:
Previous experience in a similar role within Financial Services.
Ability to interpret and implement regulation / legislation
FCA Regulatory rules and guidance, including BCOBS, MCOB, ICOB, Complaints; Financial Promotions.
Financial Crime – Anti-Money Laundering / Fraud Prevention
Data Protection Regulations
Accredited Compliance Qualification i.e. CeMap or equivalent is desired. Plus, minimum 2 years previous experience of 2nd line Compliance oversight
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.