Compliance Officer

ESSENTIAL DUTIES AND RESPONSIBILITIES:

  • Performing horizon scanning for new regulatory initiatives and developments
  • Working with Group Compliance and Compliance functions in other home markets to develop robust working practices (and shared activities) to identify and mitigate regulatory risks
  • Providing compliance advice, support and training where required
  • Reviewing and updating, policies and procedures
  • Assisting with delivery of the Compliance Monitoring Plan
  • Assisting with incident management and reporting regulatory breaches
  • Producing management information to share the results of advice/monitoring and testing (and developing MI where required)
  • Supporting the UK Chief Compliance Officer and UK Head of Regulatory Compliance where required in other aspects of Compliance work

SKILLS, EXPERIENCE AND QUALIFICATIONS:

  • Knowledge and experience of two or more of the following: Operational resilience; Business Continuity; SM&CR; CASS; and Governance
  • Experience of providing written advice and guidance to first line business areas on the implications of regulatory requirements Experience in Advisory Compliance or consulting in financial services
  • Ability to take a risk-based proactive approach
  • Excellent communication skills in both written and spoken English
  • Ability to draft reports to a high standard using PowerPoint and Word

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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