Overview
An exciting opportunity has arisen to join a well-established Financial Services company in a Compliance Officer position
Some Key Responsibilities:
- Provide risk based 2LoD compliance monitoring in accordance with the Compliance Plan
- Use knowledge and experience of the regulatory landscape and consumer duty expectations and requirements to provide appropriate challenge and support to the business.
- Develop and maintain effective working relationships with first line operational management and key stakeholders
- Work with the rest of the Risk & Compliance team to effectively manage and deliver FCA regulatory visits, requests and thematic reviews to a high standard, enhancing our relationship with the regulator.
- Level 4 DipFA Qualified or working towards
- Previous experience of working in a Compliance role, ideally within Wealth & Investments
- Up to date knowledge of relevant FCA Handbooks e.g. COBS, T&C, SYSC, ICOB, MCOB
- up to date knowledge of the regulatory landscape and emerging industry risks
