Financial Compliance Officer

COMPLIANCE MONITORING ASSISTANT

(FINANCE)

Conventus Solutions currently have a Compliance Monitoring position available, for our well-established Financial Administration Client. This is an exciting opportunity to apply and grow your FCA, Data Protection and Anti-Money Laundering knowledge. An ideal chance to work for an internationally renowned organisation, with a vibrant culture, in a position with career progression. Your role will be vital, in driving regulatory improvements to my Client's department. This role operates from their regional HQ, in a scenic location in South Bristol.

Responsibilities:

· Scope and plan monitoring reviews of business areas in line with the risk-based Compliance Monitoring Programme, complete testing activity through investigation, review and analysis across operational activities to assess compliance with prevailing regulatory requirements, internal policies and best practice.

· Identify and assess risks arising in the business referring to prevailing regulatory requirements and best practice.

· Produce objective, timely and well-presented monitoring reports and gain approval for distribution to Senior Management and Directors and liaising with all levels of staff across the business throughout testing activity.

· Liaison with colleagues across Control & Governance, Risk, Compliance and Audit functions where required.

• The key areas of regulation applicable to this role are the FCA Principles for Business and COBS, CASS, SYSC, SUP, APER, TC, MAR and DISP handbooks as well as Data Protection Act (DPA) and Anti-Money Laundering rules (AML).

Desired Experience:

• Minimum of 1 years' experience within a Financial Compliance role, ideally Compliance Monitoring for an FCA authorised and regulated firm.

• Those with a background of Risk Analysis or Internal/External Auditing, in a Financial Services environment will also be considered.

• A basic understanding of the FCA Handbook - COBS, CASS, SYSC, SUP, DISP and AML, obtained from working in an FCA authorised and regulated firm.

• Audit or Accountancy experience is advantageous.

• Data Protection Act / GDPR experience is advantageous.

Salary/Rewards:

• £25,000 - £30,000 per annum

• Fantastic employee package alongside your basic salary

• On-site gym

• Vibrant culture

• Plus, complementary Bus Service running via Bristol City Centre and Bristol Temple Meads Station.

Next Steps:

Interested? Please send your CV, and contact details over to one of our specialist team members, or apply via this portal, and one of our team will take you through the application process.

Like the role, but unsure if it's right? Conventus Solutions have a dedicated team of specialist recruiters, that are able to discuss any possible opportunities with you, please give us a call - .

Rhiannon Wickham

Conventus Solutions