Job title: Compliance Officer
Job type: Permanent
Emp type: Full-time
Salary type: Annual
Salary: GBP £40,000.00
Location: Kent, UK
Job published: 2024-02-28
Job ID: 32360
Contact name: Luke Warner
Contact email: lwarner@birchlakerecruitment.com

Job Description

We a delighted to be working with a truly ethical business with a fantastic culture. Based in Kent, they are seeking a Compliance Officer who will work a 4 day week on a hybrid basis (but paid for 5 days) to join a close knit Compliance team.

This Compliance Officer will provide support to the Compliance Manager & MLRO and other members of the Compliance team in the development and delivery of a comprehensive risk and compliance framework that enables the business to meet regulatory requirements on an ongoing basis across:

  • Compliance
  • Financial Crime/Anti-Money Laundering (AML)
  • Data Protection (DP)/General Data Protection Regulation (GDPR) and
  • Operational Risk

Dimensions of the Role:

  • No direct reports
  • Internal contacts (all staff/departments)
  • External contacts (PRA/Bank of England, FCA, ICO, FSCS, FOS, UK Finance and other industry bodies, Auditors and legal advisors, NCA/law enforcement agencies

 

Key Accountabilities:

  • Support the Compliance Monitoring Programme (CMP) in meeting the needs of the business and regulatory systems
  • Undertake business wide reviews covering SYSC, COBS, DISP, TC, SUP, Data Protection/GDPR and JMLSG requirements within the agreed framework for Treating Customers Fairly (TCF)/Conduct Risk; produce reports to the Compliance Manager & MLRO/management team on findings
  • Review financial promotionsReview regulatory papers and monitor outside developments to determine relevance/impact on
  • Prepare and submit regulatory returns and reports and contribute to the management information reports
  • Provide advice, training and guidance to business areas on regulatory matters (including complaints) and support training administration.
  • Maintain policy updates (including the Compliance Manual) falling within the remit of the Compliance team - ensure these are kept up to date with legal and regulatory requirements

 

Person Specification:

  • Minimum 2/3 years’ experience in Compliance in a retail financial services environment
  • Knowledge and good understanding of PRA/FCA
  • Experience of undertaking Compliance monitoring quality assurance programmes/reviews
  • A self-starter, able to work on own initiative to deliver high quality outcomes within agreed timescales
  • Meticulous attention to detail; highly organised; systematic in approach
  • Computer-literate: MS Office as a minimum 

 

 

 

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