Senior Business Compliance and Risk Officer

IDEX Consulting Ltd
Croydon, Surrey
11 Jun 2017
10 Jul 2017
Contract Type
Full Time

An opportunity has arisen for a Senior Business Compliance & Risk Officer with primary responsibility for First Line Compliance and Risk to support the Investment operational business within a Financial Services Company in Croydon.

The Officer must ensure all laws, regulations and policies governing the Investment business model are actively followed in the day to day running of the business; and that Compliance and Risk requirements and controls are part of all new product and process initiatives.

The Officer will be supported by 2nd Line Compliance Officers and will report into the Group Compliance team and Head of Operations.

Essential experience

  • Extensive regulatory compliance experience gained within a financial institution, demonstrating strong knowledge of FCA/PRA regulations including but not limited to , SYSC rules , MIFID, COBS, Treating Customers Fairly, AML, Payment Services Directive
  • Extensive experience of wealth products with specific experience in SIPPs, ISAs, GIAs and platforms
  • Experience advising and liaising with senior management and stakeholders
  • Hold a relevant CISI/CII/IMC/IOC qualification

A degree/qualification in Law / Accounting / Business / Finance or equivalent preferred

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful we will contact you to discuss the opportunity in more detail within 2 working days of receiving your application. If your application is unsuccessful, the information supplied may still be retained for use in connection with future vacancies. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful.