Senior Compliance Officer
- Recruiter
- MERJE Ltd
- Location
- Cardiff County, UK
- Salary
- 50,000 - 50,000 per annum
- Posted
- 31 Jul 2021
- Closes
- 12 Aug 2021
- Ref
- 2351018964
- Job role
- Compliance/risk
- Sector
- Accounting - Public practice
Job Description: To assist with the implementation of the compliance framework to ensure the organisation's activities meet regulatory requirements.
Key responsibilities include:
The Person:
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.
Key responsibilities include:
- Develops and maintains a framework for Compliance support of marketing and financial promotion activities
- Develops and maintains policies, processes, registers and MI reports to ensure the necessary aspects of regulatory compliance are adhered to and reported
- Designs and delivers regulatory training
- Maintains awareness of regulatory compliance updates, interprets and communicates to relevant areas of the business.
- Assists with due diligence and on-going compliance of partners
- Interprets regulatory requirements and implements practical, compliant solutions
- Provides subject area support to more junior members of the team
The Person:
- Extensive experience and compliance knowledge within the financial services sector
- Extensive knowledge of financial products, and personal and household finance issues
- Understanding of FCA Handbooks, especially ICOBS, TCF, DPA, financial crime, consumer credit and complaints
- Experience of practical application of rules and regulations within a financial services organisation
- Knowledge and experience of compliance requirements for financial promotions
- Knowledge and understanding of FCA authorisation requirements and approval process for different types of regulated activities
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.