c. £42,000 + Bonus + Benefits
about 2 years ago
Our client is a well-known Financial Services business who are looking to recruit a Senior Compliance Analyst. In this role you will assist the Compliance Manager in providing oversight of Compliance activity, providing assurance that outsourced servicing operations adhere to legislative, regulatory requirements and provide appropriate assistance.
Key responsibilities include:
- Carrying out monitoring tasks as detailed in the annual Compliance Monitoring Plan to the prescribed format and timelines.
- Providing support and assurance as required to the Compliance Manager in maintaining the second line of defence over business activities.
- Carrying out second line quality assurance reviews and communicating any non-compliance, risk and improper conduct to the Compliance Manager.
- Assisting in the resolution of compliance and/or quality assurance problems to completion with the relevant business area.
- Supporting the Compliance Manager in monitoring and managing internal data protection activities including the provision of advice and guidance on the management of Data Subject
- Rights requests, data breaches, staff training and the completion of Data Protection Impact Assessments in accordance with the Data Protection legislation.
- Undertaking verbal and written communication with regulators, auditors, lawyers and other third parties under the direction of the Compliance Manager.
- Providing technical Compliance advice to the business under the guidance of the Compliance Manager.
- Keeping abreast of all prevailing and pending regulatory and legislative requirements and ensuring the business areas impacted are fully informed.
- Embedding and promoting effective risk management through compliance activities.
- Conducting monthly, quarterly and annual Compliance activities to the required standard
- Experience in the Financial Service Industry
- Up to date knowledge of FCA regulation and all other relevant regulations, specifically GDPR, DPA, Conduct Risk, Treating Customer Fairly, MCOB, DISP & SUP requirements
- Previous compliance assurance or similar 2nd line defence experience would be advantageous