Senior Compliance Officer

Costello & Reyes Limited
08 Mar 2018
16 Mar 2018
Contract Type
Full Time

My client, an innovative financial services company based in Oxford, are looking for a Senior Compliance Officer to join their permanent team.

As the Senior Compliance Officer you would be responsible for identifying Compliance Risks and developing appropriate controls within the Regulatory framework. Training colleagues and promoting the organizational Compliance internally as well as developing a Risk based compliance monitoring and testing programme. Audit skills we be essential as you would be responsible for managing regulatory reviews and Compliance related Audits. Providing assistance will be key as well as providing accurate and reliable Compliance advisory support and managing internal and external relationships.

The right candidate must have experience with:

  • FCA Sourcebooks (CONC, DISP, SYSC and SUP)
  • Data Protection Act
  • GDPR

Additionally you should be aware of:

  • Oversight of distribution chains
  • The variety of permissions held by brokers including limited and full permission plus the AR framework
  • Application of the Senior Managers Regime

The client is very flexible and open to a diverse skill range and experience level, they are willing to offer training to an exceptional graduate but will also welcome a seasoned specialist. This is an exciting opportunity to join a heavily invested, mature start up who are looking to invest in their employees with attractive benefits, stock options and training.

Should you be interested in this position, please do send your profile and call for further information.

Costello and Reyes operate as both a recruitment business and recruitment agency for its clients.

Unfortunately, sponsorship cannot be provided so you must have the right to work in the UK.

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