Compliance Officer

Recruiter
Vargo Recruitment LTD
Location
Grangetown
Posted
10 Jan 2018
Closes
15 Feb 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Our client, a progressive and forward thinking financial services company are looking for a compliance officer to join their team for an initial 18 month Contract, however there is a strong possibility the role may go permanent due to expansion.

Working as part of a team, and reporting into the senior compliance officer the role will include the following:

  • Playing a key role in regulatory change requirements across the business
  • Providing compliance advice to the business including review and sign off for documents
  • Undertaking Conduct Risk reviews to identify, risks and controls to ensure good customers outcomes
  • Carrying out compliance monitoring activity (thematic and regular) in line with Board approved plan
  • Investigation and resolution of escalated / Level two complaints
  • Oversight and tracking of Training and Competence Scheme activity
  • Recording and following up on actions relating to reported incidents and breaches
  • Production and analysis of compliance related MI
  • Develop and manage the customer experience survey process to ensure maximum customer engagement and that improvements are identified and implemented as appropriate.
  • Stake holder engagement to agree the scope of monitoring activity and deliver outputs to the agreed standards

Skills and experience required for the role:-

  • Previous experience in compliance, conduct risk, complaint handling, quality assurance and T&C are required. Strong interpersonal skills are also key to this role
  • Excellent written and oral communication skills with proven executive- level report writing experience
  • Excellent negotiation and influencing skills, particularly being able to influence decision-makers
  • Detailed knowledge of FCA, FLA and DPA regulation
  • Good working knowledge of industry best practice for compliance and governance frameworks, methodologies and emerging practices in the context of the UK financial Services Industry

Alongside a competitve salary the company offers a fantastic benefits package, including bonus, free Private Healthcare and great pension.

Apply now for immediate consideration