Compliance Officer – Generalist recruitment
Key Objectives of the Role:
• Management, advice and development of regulatory controls for regulatory projects new services
• Development and maintenance of regulatory training programs
• Regulatory Support for intermediary client relationships
• Assistance in the development and execution of the compliance monitoring program
Responsibilities:
• Provision of Compliance advice on all aspects of the business
• Managing and developing new or enhanced regulatory controls for all regulatory initiatives, service solutions and products
• Managing regulatory audits, reviews and projects
• Responsible for the development and maintenance of regulatory training programs for the business.
• Developing and issuing regulatory policies and procedures
• Reviewing and advising upon new products including launches, developments and any subsequent monitoring requirements
Technical Capabilities/Skills Experience Required for the Role:
• Strong generalist Compliance experience with thorough knowledge of FSA Regulations (including detailed knowledge of CASS requirements)
• Broad knowledge of financial markets and expertise in major product areas and financial services
• Demonstrable evidence of analysing and documenting complex business processes
• Proven experience interacting directly with key business stakeholders
• Previous experience of working on regulatory reviews
• Superior organisational, research and technical information gathering skills
• Excellent oral and written communication skills
• Proficient IT skills – all Microsoft Office products and ability to pick up other systems/databases easily
Key Competencies Required For the Role:
• Ability to work independently with minimal supervision
• Enthusiasm and ability to communicate effectively at all levels, undertake assessments and provide clear feedback
• Ability to work well under pressure and meet deadlines without deterioration of quality of work
• Strong team work ethic