Compliance Officer (Specialist Lender / Mortgages/ Retail Bank)

18 Apr 2019
26 Apr 2019
Contract Type
Full Time

Working as part of the Regulatory Advisory Team, providing support to the Compliance Advice

team to ensure the business meets its FCA regulatory and compliance requirements.

The Client-

Retail and Commercial bank, listed on the London Stock Exchange.

The role-

  • Maintain effective relationships with key internal stakeholders to ensure that the key aims of the bank are achieved
  • Provide guidance on the interpretation of a wide range of regulatory requirements and the practical application of internal policies
  • Identify, log, manage and provide advice relating to the remediation of regulatory risk events and or compliance breaches
  • Interpret and analyse UK and European regulatory publications to support regulatory change implementation projects / initiatives.
  • Provide guidance and support to any internal stakeholders to assess the impact of new regulatory requirements
  • Assist with the team’s internal reporting and governance requirements including minute taking and pack creation relating to compliance related working groups and committees
  • Assist with all aspects of the bank’s external reporting requirements including occasional applications
  • Provide technical advice and guidance on regulatory issues
  • Contribute to an effective compliance framework including the tracking / resolving of outstanding actions
  • Responsibility for the 2LOD approval of financial promotions and related marketing or contractual literature in accordance with applicable rules and regulations

Key Requirements-

  • Excellent understanding of rules and regulations applicable to a financial services firm or a Bank
  • Proven track record in providing advice on regulatory matters
  • Preferably 18 months to 2 years’ experience
  • Could suit someone either looking to further develop their career in compliance or looking for part time work or returning to work after leave

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