Compliance Officer

Kind Consultancy
Buckinghamshire, UK
10 Sep 2019
17 Sep 2019
Contract Type
Full Time
Kind Consultancy is working with a successful, fast-growing mortgage-focussed Financial Services business which is now seeking a Compliance Officer to join the Compliance team in one of their offices in the Milton Keynes area.

The Compliance Officer will contribute to the Risk and Compliance culture within the business, delivering effective Compliance Business Advisory and Compliance Assurance activity, with key responsibilities including:

* Assisting the Head of Risk & Compliance in ensuring that the business is fully compliant with all applicable legislation, regulatory requirements and relevant internal policies

* Providing regulatory Compliance advisory support to all business departments

* Ensuring that Compliance processes and procedures are documented, implemented and regularly reviewed

* Delivering advice and approval on any new products, marketing initiatives or enquiries that may be sent to the Compliance team, making sure all responses are properly recorded and documented

* Contributing to the development of the Compliance Monitoring Plan, alongside the Head of Risk and Compliance, setting out an appropriate programme of risk-based Compliance assurance activities

* Monitoring and auditing business departments

* Aiding in the development, maintenance and implementation of an effective Risk Management framework across the business

* Carrying out investigations into any identified Risk issues, breaches or suspicious activity reports, following up with corrective actions

* Horizon scanning for regulatory developments that will impact the business, compiling reports and guidance to the business on relevant compliance and regulatory requirements

Our ideal candidate for the Compliance Officer position:

* Has 3+ years experience of working in a Compliance-based role in Financial Services, preferably involving mortgages and protection insurance products

* Is fully CeMAP qualified

* Has good knowledge of FCA rules and regulations

* Is analytically minded with good attention to detail

* Is a clear and confident communicator, able to translate complex information for a variety of audiences

If you have relevant skills and experience and are interested in the Compliance Officer opportunity, please apply with an up to date CV today.

If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming number of responses we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful

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