Compliance Officer

Compliance Officer

Lloyd Recruitment Services are delighted to be recruiting on behalf of a specialist finance provider that seek an experienced Compliance Officer to join their Compliance & Risk team.

The client is an award winning organisation with a modern, flexible approach. They have set new standards in their industry sector and have achieved continual growth as a result of their success. Recognised as the No.1 employer in their sector, they are a highly staff focused organisation where everyone in the business is valued and their commitment and hard work is recognised and appreciated. Our client offers a competitive salary and benefits package including pension, life insurance, private medical insurance (Bupa, inc. immediate family), 25 days holiday (plus your birthday!), subsidised gym membership, and up to 10% bonus potential.

This wide-reaching role offers the opportunity to engage in all aspects of the firm's compliance and operational risk activities. You will work alongside the Head of Governance assessing the effectiveness of policies and procedures and associated controls designed to mitigate risk, and reporting of relevant MI. The role includes an ongoing assessment of regulatory developments and assess the impact these have on the business. You will also be responsible for ad hoc project work and developing our reg tech platforms.

KEY RESPONSIBILITIES

• Ensure the business achieves and maintains compliance with current and future FCA requirements.
• Develop and maintain compliance policies and training material.
• Support with data protection compliance.
• Monitor, analyse, and interpret new rules and regulations, identify and address any gaps between existing processes and new regulatory requirements.
• Conduct thematic file checks and report findings into Risk & Governance meetings.
• Review and audit marketing, policy, and external literature in line with FCA requirements.
• Administer the Company's register of policies and procedures.
• Assist the Head of Governance in submitting FCA returns.
• Maintain the Enterprise Risk Management System, ensuring risks and controls are reviewed regularly by the respective owners.
• Ensure a monthly review is conducted of all risk incidents and prepare MI to submit into the Risk & Governance Meeting.
• Assist the Head of Governance in the preparation and submission of MI and other ad hoc tasks to the Fraud Committee, Risk & Governance Committee, and external parties.
• Overseeing data impact assessments.
• Assist the Head of Governance with Subject Access Requests including gathering and analysis of data.
• Manage conflict of interest process.
• Attend industry forums on related topics.
• Develop and maintain robust relationships with key stakeholders.

SKILLS/EXPERIENCE REQUIRED

• A team player with a solution orientated and positive attitude.
• A strong customer focus and drive to support business objectives.
• Proven analytical and written presentation skills.
• A strong awareness of Conduct Risk.
• A strong understanding of Risks and Controls.
• Experience within the financial services sector and an understanding of AML policies and procedures (including sanctions, bribery and corruption).
• Some Financial Crime, KYC and CDD subject matter knowledge is expected.
• Understanding of the UK asset finance sector (preferred).
• Knowledge of FCA regulations.