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Compliance Specialist

Financial Services
Closing date
14 Jun 2021

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Contract Type
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Job Details

My client is a growing payments firm, an area that is expanding rapidly within the Financial Services sector in the UK.


The Compliance Specialist will be:
  • Supporting the delivery of a risk-based second line assurance framework, including undertaking timely compliance monitoring reviews, demonstrating compliance with regulations, policy, adequacy of procedures and effectiveness of key controls;
  • Conducting call monitoring activities with a focus on customer outcomes, including conducting assurance over call monitoring undertaken by the first line;
  • Preparing detailed and clear reports of findings arising from monitoring reviews, working with key stakeholders to assist with the development of remediation plans;
  • Monitoring and reporting on the status of implementation of remedial actions;
  • Providing appropriate reports or information to the Head of Compliance and assisting with the preparation of any reports or papers as required;
  • Undertaking reviews of financial promotions and providing guidance where required;
  • Drafting or assisting with the preparation of regulatory returns and other regulatory notifications/applications;
  • Contributing to the development and ongoing maintenance of policies and procedures by identifying areas of weakness, making suggestions for improvement, drafting or making amendments and supporting implementation of new or revised policies;
  • Remaining abreast of regulatory and legislative developments and identifying any potential impacts on the business;
  • Preparation of training materials and delivery of training to the wider business on compliance matters;
  • Promoting a culture of compliance throughout the business; and
  • Providing ad-hoc general regulatory compliance advice and support.


The successful Compliance Specialist will have:
  • Previous experience performing call monitoring in an FCA regulated firm;
  • Demonstrable understanding of regulations which impact the payments industry;
  • Good knowledge of recent regulatory developments and implementation timescales;
  • Attention to detail and ability to draft reports, presentations or papers for review at a senior level;
  • Flexibility to travel between the firm's UK offices;
  • Strong IT skills and proficiency in Microsoft Excel, PowerPoint and Word.

Job Offer

A competitive salary with benefits package to be discussed upon application.

NB. This is an office based role.
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