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