We require a Compliance Executive to deliver expert compliance advice and monitoring services to the firm to help maintain compliance with existing and emerging regulatory requirements and standards.
• Assessing and helping to prepare responses to regulatory Consultation papers where appropriate, especially those issued by the FCA.
• Contributing to the production of regulatory update newsletters for the business summarizing issues that may have an impact on the firm or our industry.
• Assisting with change management projects in response to new regulatory requirements
• Providing a proactive advisory service to all areas of the firm on regulatory matters
• Preparing/amending policies, procedures or guidance to reflect regulatory requirements and to address the results of compliance reviews.
• Assisting with the preparation and provision of training to all areas of the business on regulatory matters
• Carrying out routine compliance monitoring and following up on matters arising
• Participating in ad-hoc compliance reviews and branch visits on topical issues
• Ensuring that any adverse findings from these reviews are escalated, and monitoring any actions taken to resolve issues.
• Reviewing and approving research and marketing material, to ensure that it complies with the Financial Services and Markets Act 2000 and the COBS Financial Promotions rules and guidance
• Assisting with the investigation and response to client complaints including those referred to the Financial Ombudsman Service (FOS)
• Participating in any of the ongoing projects of the department and covering for other Compliance Executives (holiday/absence) as required
Competencies / Skillset
• Getting things done
• Communication & Sharing Knowledge
• Customer Service
• Effectiveness & Adaptability
• Team Working
• Planning & Organising
• Attention to detail
Qualifications / Experience Required
• Educated to degree level standard or equivalent
• At least 2 years’ compliance experience, preferably in the Financial Services Industry
• An interest in Compliance and an understanding of the UK Financial Services Regulatory Environment
In addition candidates should:
• Have the ability to communicate orally and in writing in a clear, concise and persuasive manner.
• Be self-motivated and committed to ‘getting the job done’
• Be flexible in their approach to work, adapting to changing demands and conditions
9.00am – 5.30pm, Monday – Friday
Get In Touch
Please send a CV and covering letter to email@example.com with the subject title of the role you are applying for.
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