Specialist financial services business are looking to expand their Compliance function with the addition of a Senior Compliance Executive.  Reporting to the Head of Compliance, the role will ensure the business complies with all applicable regulatory rules and regulations, by ensuring that correct advice is given to the business and agreed monitoring programs are undertaken.

Responsibilities :

Assist the Head of Compliance by ensuring the Business is compliant with all Regulations; and carry out regular monitoring and testing to ensure compliance is retained. 

Regular reviews of Company's website and financial promotions (as part of the Company's compliance monitoring programme) to ensure compliance with regulatory obligations and requirements.

Assist the Head of Compliance with regulatory reporting and liaising with the Regulators including FCA, ICO, FOS and trade bodies.

Carrying out in-depth investigation work in connection with financial crime and working closely with third parties such as, NCA and Police to mitigate financial crime.

Assist the Data Protection Officer by complying with all statutory requirements applicable to this role; monitoring compliance with DPA and other data protection regulations.

Candidate requirements:

experience gained in a similar role within financial services.

understanding of FCA sourcebooks and a good understanding of the wider FCA handbook and regulatory framework.

understanding of the Data Protection and Anti-Money Laundering legislation.

A track record of working in a regulated environment providing practical support and advice on risk and compliance related matters.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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