Compliance Officer

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  • Salary:

    £28,000 - £34,000 + Benefits

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  • Published:

    almost 2 years ago

My client is a long established financial services organisation who are currently looking for a Compliance Officer to join the firms Compliance & Risk team. This team support the business in fulfilling their compliance accountabilities and delivering the commercial strategy.

Key responsibilities include:

  • Undertaking thematic reviews in accordance with the Compliance Plan, delivering scoping documents, methodology documents and reports for the business
  • Delivering the programme of risk based monitoring and oversight reviews of the business first line activities, including claims, complaints, quality assurance and fraud controls, ensuring continued adherence to legal and regulatory obligations
  • Reviewing suspicions raised from referencing and legal and claims, undertaking in-depth investigations on information provided, with detailed outcomes and actions communicated back to the relevant departments. Where necessary, handling the reporting of the suspicious activity to external agencies
  • Working closely with the Quality Assurance function to ensure the methodology and criteria align with business risks and the compliance plan, also providing them support, advice and guidance with application of the criteria and assessment of appeals
  • Ownership of the sanctions checking procedures ensuring the firms regulatory obligations are met and can be evidenced
  • Management and response to all data protection requests and complaints received, in accordance with ICO Guidelines

The Person:

  • Knowledge of the FCA regulatory environment
  • Experience of fulfilling a Compliance role in either a monitoring or advisory capacity
  • Excellent written and verbal communication skills.
  • Ability to balance workload, prioritising work effectively.
  • Understand business needs and priorities and how they relate to regulation

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.