Cheshire West and Chester
£26,000 - £28,000
about 3 years ago
Our client is a leading retail bank who are currently recruiting for a Regulatory Compliance Officer. The role is responsible for ensuring that the Bank operates within a compliant and controlled risk environment.
- Responsible for ensuring the Bank’s systems and Controls meet or exceed required regulatory compliance standards.
- Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm’s FCA Approved Persons Registrations.
- Providing assistance in preparation for External/Internal Audits/Client Visits.
- Organisation and maintenance of Compliance documentation.
- Monitor and review regulatory changes from the PRA/FCA and other relevant regulators, perform initial gap analysis and help implement and changes where necessary.
- Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams.
- Produce reports to the senior management of the firm relating to the effectiveness of regulatory compliance as directed by the Risk and compliance Director.
- Manage compliance/contingency/risk issues within own area of control and for the Bank.
- Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business.
- Monitor adherence to the firm’s compliance with regulations as directed by the Risk and compliance Director.
- Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance.
- Able to demonstrate knowledge in the core areas of regulatory compliance gained with a financial services organisation.
- Strong communication skills
- Strong planning and organising skills.