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Compliance Officer

Broadgate Search
West Bradford, UK
Closing date
31 Jan 2021

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Job Details

My client has an exciting opportunity for an experienced and talented COMPLIANCE OFFICER to advise and support the business to carry out its regulatory obligations.

Key Responsibilities:
  • Provide timely, clear and pragmatic regulatory risk advice and support on relevant business initiatives, business change and projects
  • Review and sign off financial promotions and product scheme sheets prior to launch
  • Produce MI and reports for the Risk & Compliance Management Committee and quarterly Audit, Risk & Compliance Board Committee
  • Define the Compliance related policies, manuals and procedures
  • Monitor the Risk Event Register to identify regulatory breaches, escalating to the Executive and Board where necessary, and ensuring risks are updated and maintained
  • Provide ad hoc regulatory training as and when required across the business
  • Identify all emerging conduct and prudential legislation, regulation and industry guidance relevant to the business, and pragmatically interpret and communicate its impact
  • Ensure that all regulatory and conduct expectations and deadlines are met
  • Assist with the development of the annual Compliance Monitoring Plan (CMP), conducting monitoring reviews and producing suitable reports on the findings
  • Report agreed management actions from the monitoring activity to the senior management team, tracking the progress of these actions accordingly
  • Respond to data protection queries, data breaches and data subjects exercising their data protection rights e.g. subject access requests
  • Respond to the Financial Ombudsman Service following referral of second stage complaints
  • Track the progress and status of all internal audit and external audit actions and assist with the validation of the status and implementation of the actions

Key Requirements:
  • Good understanding of the regulatory environment in relation to savings and mortgages
  • Knowledge and experience in retail conduct risk related issues
  • Strong experience of providing advice and guidance on regulatory standards
  • Experience of conducting and reporting on monitoring compliance with regulatory standards
  • Excellent relationship management skills with the ability to build and maintain effective working relationships
  • Strong interpersonal, communication and influencing skills
  • Excellent oral, written and structured planning skills
  • Able to provide challenge to ensure appropriate behaviors from a regulatory perspective and good customer outcomes are always achieved
  • Ability to prioritise conflicting demands, organising own agenda and work under pressure
  • Self-starter with the ability to generate new ideas with minimal input or supervision
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