Senior Compliance Officer

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    over 1 year ago

You will be working alongside the Compliance Manager in order to ensure that this Financial Services business operates in accordance with its regulatory obligations and in a manner that puts customers at the centre of its operations.

This is an excellent opportunity to perform a broad role and stand out in a small team. In this role, you will have primary responsibility for compliance and you will work closely with key stakeholders to deliver results of the highest grade.

Key Responsibilities:

  • Provide helpful Compliance advice to the team and other stakeholders ensuring core values and behaviours are met
  • Undertake assurance and monitoring reviews as requested in order to successfully deliver the annual compliance monitoring plan
  • Report and present complaints MI as required to the FCA, Executives and relevant committees
  • Provide effective oversight, challenge and support to the operation on the resolution of complaints and undertake independent root cause analysis as requested
  • Deliver relevant SME training to your colleagues
  • Ensuring fair treatment of vulnerable customers
  • Keeping up to date with regulatory knowledge and market updates related to your industry
  • Act as the SME for the firm’s complaint handling procedures and the regulatory requirements of the FCA’s dispute resolution sourcebook
  • Maintain accurate record keeping and data

The Person:

The ideal candidate for this role would be an experienced influential Compliance Officer with a proven track record in implementing process and policy to ensure there is effective oversight.

A successful Compliance Officer would be a curious and focused individual with exceptional written and verbal communication skills. It’s important to have a natural resilience and feel comfortable to give advice on key areas relating to compliance.

Applications are welcome from individuals with a high degree of integrity and extensive FCA knowledge along with an understanding of DISP, MCOB, BCOBS and PSRs.

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.