Leeds (Hybrid/Office-Based)
A well-established financial services organisation is seeking a Compliance Specialist to provide risk-based second line of defence (2LoD) monitoring and compliance support. This role ensures that business activities are carried out within the regulatory framework while embedding Consumer Duty principles and maintaining a strong culture of compliance and customer focus.
Responsibilities:
- Support the development and implementation of the Compliance Plan through risk-based monitoring and assurance activities.
- Conduct compliance audits and risk assessments to evaluate internal controls and identify emerging risks.
- Provide compliance advice and consultancy to business areas, promoting good conduct and customer outcomes.
- Support regulatory interactions, including visits, thematic reviews, and information requests.
- Prepare high-quality reports and present findings to senior management, recommending control improvements.
Experience & Qualifications:
- Level 4 DipFA Qualified or working towards
- Experience: Proven experience in a 2LoD compliance monitoring role within the financial services sector.
- Knowledge: Strong understanding of FCA regulations, conduct risk, and relevant handbooks (e.g., COBS, SYSC, T&C); awareness of data protection and financial crime frameworks.
- up to date knowledge of the regulatory landscape and emerging industry risks
