Compliance Officer - Financial Services

Recruiter
Seymour John
Location
Cardiff, UK
Salary
Competitive
Posted
11 Sep 2019
Closes
18 Sep 2019
Ref
1259818269
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
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.

The Opportunity:
  • 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.

Personal Profile:
  • 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.

Similar jobs

Similar jobs