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Compliance Partner

  • Location: United Kingdom
  • Salary: £45,000 + Benefits per year
  • Job Type:Permanent

Posted 8 days ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Expiry Date: 22 December 2022
  • Job Ref: PC/19807

The Compliance Partner provides group-wide guidance to all levels throughout the group, to ensure a positive, regulatory compliant and great client outcome is achieved.

The role will involve:

• Review and respond to compliance queries efficiently and accurately

• Carry out second line monitoring as per agreed timetable for advice, product and/or processes

• Review/approve financial promotions and ensure group communications are compliant

• Provide compliance oversight, guidance, and support on relevant group projects

• Highlight improvement areas through root cause analysis and effectively communicate these to the group where appropriate

• Promote a positive, solutions driven and collaborative compliance culture group-wide

Key Requirements:

• a minimum of 3 years’ experience working in a financial service regulatory environment ideally in second line compliance

• detailed knowledge of FCA handbooks PRIN, SYSC, COBS, PROD and DISP

• demonstrate good awareness of industry relevant compliance issues internally and industry wide

• be a subject matter expert in at least two of the following areas:

- Compliance Universe

- Breaches and Conflicts of Interest

- 2nd line monitoring and thematic reviews

- Policy and process design, review and training

- Mergers, acquisitions, and integrations