Compliance, Financial Crime and Risk

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Compliance Officer

Salary: £65,000 + 12% cash allowance - London

The Role

The role holder will be responsible for providing day to day compliance advice and support to various business activities, including the provision of insurance mediation and investment advice to both professional and retail clients.This will involve working closely with senior leadership and following the approved Risk Governance Frameworks in place. The role will include Compliance Monitoring across the business.

 

Responsibilities
 Monitor industry and regulatory developments relevant to the business
 Interpret regulatory rules and work with the business to ensure compliance is maintained as regulations change and industry understanding evolves and develops
 Partner with the business to enhance and foster a culture of compliance and professionalism
 Provide advice and guidance to businesses in respect of ad-hoc queries and new projects
 Work with the business to design new (and/or enhance existing) procedures that are both compliant and business efficient
 Support colleagues and the business to manage regulatory and other business risks
 Identify regulatory and business risks and develop the control environment accordingly
 Undertake monitoring activity (including office visits) to identify weaknesses in the control environment and breaches. Work with the business on appropriate action to be taken to manage any breach and ensure controls are established to minimise the likelihood of, and /or impact of further breaches
 Provide accurate and timely management information, analysis and reports to the CCO and senior management.
 Ensure required reporting to the FCA and any other third parties is completed as required
 Participate in regulatory change management and/or business projects and providing the appropriate regulatory guidance to the business on these projects


Education
 Degree level or equivalent
 A relevant professional qualification is highly desirable but not essential
Knowledge & skills
 A strong understanding of FCA regulation and the financial services environment in the UK. Proven experience of working in a compliance / risk department
 This is a key (internal) client facing role requiring effective day to day communication and responsibility for delivering work to an agreed timetable
 Demonstrable knowledge of relevant regulation in the UK
 A reasonable knowledge of any relevant EU legislation
 Excellent interpersonal skills, including oral/written communication & influencing skills, and who takes responsibility for decisions
 Strong team player with good organisation, planning and leadership skills
 Highly motivated, with a proven ability to work on own initiative
 Ability to manage, prioritise and deliver workload to a high quality
Our Client delivers advice and technology-driven solutions that help organizations meet the health, wealth and career needs of a changing workforce. They have  more than 22,000 employees are based in 43 countries and the firm operates in over 130 countries. 

 

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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