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Compliance Officer (Specialist Lender / Mortgages/ Retail Bank)

  • Location

    Surrey

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £35,000 - £45,000

  • Consultant:

    James Flood

  • Email:

    jflood@merje.com

  • Job ref:

    JF/15195

  • Published:

    2 months ago

Working as part of the Regulatory Advisory Team, providing support to the Compliance Advice team
to ensure the business meets its FCA regulatory and compliance requirements.
 
The Client-
Retail and Commercial bank, listed on the London Stock Exchange. 
 
The role:
  • Maintain effective relationships with key internal stakeholders to ensure that the key aims of the bank are achieved
  • Provide guidance on the interpretation of a wide range of regulatory requirements and the practical application of internal policies
  • Identify, log, manage and provide advice relating to the remediation of regulatory risk events and or compliance breaches
  • Interpret and analyse UK and European regulatory publications to support regulatory change implementation projects / initiatives. 
  • Provide guidance and support to any internal stakeholders to assess the impact of new regulatory requirements
  • Assist with the team’s internal reporting and governance requirements including minute taking and pack creation relating to compliance related working groups and committees
  • Assist with all aspects of the bank’s external reporting requirements including occasional applications
  • Provide technical advice and guidance on regulatory issues
  • Contribute to an effective compliance framework including the tracking / resolving of outstanding actions
  • Responsibility for the 2LOD approval of financial promotions and related  marketing or contractual literature in accordance with applicable rules and regulations 
 
Key Requirements-
  • Excellent understanding of rules and regulations applicable to a financial services firm or a Bank
  • Proven track record in providing advice on regulatory matters
  • Preferably 18 months to 2 years’ experience
  • Could suit someone either looking to further develop their career in compliance or looking for part time work or returning to work after leave