over 2 years ago
My client is part of an international financial services organisation that provides a variety of cash loans as well as other financial products.
They are currently seeking a compliance officer who will support the Compliance Policy and Advice Manager undertake a broad range of responsibilities to include;
- Review and sign off the following in a timely fashion and in adherence to the sign off process:
- Financial promotions in a timely fashion;
- Customer communications; and
- Training material
- Attend meetings and provide advice on allocated new and on-going projects, providing compliance guidance where required
- Provide ongoing advice and guidance on day to day BAU issues relating to FCA, CCA, CMA and CRA matters.
- Working with the wider business to administer and maintain the following key control documents that are owned by the compliance team:
- Policy register;
- Legal and regulatory communications registers;
- Complaints assessment summary sheet; and
- Data protection asset register.
- Undertake daily review of ‘commandments’ and report as appropriate to key stakeholders.
- Ensuring adequate records are maintained for all activities carried out.
- Collating data required to complete regulatory and internal reports as and when required.
- Model and ensure the day-to-day delivery of the six defined fair customer outcomes across all business functions.
- Maintain awareness of and ensure compliance with policies and procedures across all business functions.
- Suitable skills and knowledge demonstrated through similar previous experience within a financial service regulated environment
- Knowledge and Experience of the UK regulatory regime and rules applicable to the Consumer Finance sector (CONC)
- (Desirable) Knowledge and experience of implementing ICO and GDPR requirements and rules
- Strong literacy and numeracy skills and strong skills in use of Microsoft Word, Excel and Powerpoint
- Strong communication, organisational and prioritisation skills