Compliance Officer - Financial Services
An exciting opportunity to join a market leading FinTech business, headquartered in Cardiff. Reporting to the Head of Compliance, you will play a key role in helping the business achieve it's ambitious growth plans.
- Involvement in the Compliance Monitoring Plan including testing, analysis, identifying improvements and presenting findings to senior management.
- Assisting the business in the design and implementation of new products by maximising the potential whilst remaining in line with regulatory requirements.
- Testing and training in the company compliance policies and procedures.
- Reviewing financial promotions ensuring in line with the regulatory requirements.
- Assisting the Head of Compliance with enquiries from the FCA, the Financial Ombudsman Service and other relevant authorities.
- Keeping abreast of regulatory changes, helping to identify how these changes impact the company.
- Client account monitoring processes in line with anti-money laundering legislation.
- Experience within a Compliance function in an FCA regulated financial institution.
- Understanding of the UK regulatory landscape, providing governance, controls and compliance advice for new product development.
- Strong organisational and analytical skills.