Compliance Officer

Our client is seeking an experienced and qualified individual as a Compliance office to join their team, the company are well established and have a good reputation within their industry.

This is a hybrid role and offers an excellent benefits package including a fantastic pension scheme.

Our Client is an independent provider of asset financing organisaing spanning across Europe in eight countries including the UK, with total assets of approximately €4 billion.

Purpose of the Role

To ensure appropriate compliance and risk obligations are designed, embedded and adhered to across the company. The role will undertake the companys compliance monitoring, regulatory horizon scanning, provide regulatory and technical advice to Senior Management, and will lead the implementation and embedding of the companys risk management framework.

Key Responsibilities

• Financial services technical compliance experience relating to B2B asset finance and banking, in particular the Financial Conduct Authority and Consumer Credit rules.
• You will be assisting the business to operate according to the highest standard of regulatory and compliance practise as defined by internal and external requirements as part of development an overall culture of excellent compliance.
• You will establish and maintain effective compliance systems, procedures, and controls to monitor and direct the overall business,
• You will assist with the implementation of a Business Risk Assessment of all significant risks to the company, ensuring those risks are documented, monitored, and controlled,
• You will liaise with the Director ensuring risks to the group are mitigated in line with group appetite,
• You will deliver suitable business continuity plan.
• You will ensure effective management of all compliance matters, whilst keeping fully up to date on all current laws and relevant regulations, including FCA rules and guidance, consumer credit, financial sanctions, data protection, KYC and anti- money laundering requirements,
• You will develop and deliver policies, procedures and processes designed to minimise compliance and regulatory risk and benchmark against 'best industry practise’,
• You will constantly review the compliance and regulatory risk framework and prioritise accordingly upon identification of coverage shortcomings,
• You will participate, in industry representative bodies and meetings to keep abreast of developments, focus areas and industry best practice,
• You will report to the Director of Legal and Compliance on a regular basis whilst reviewing and controlling items such as the breaches, complaints, conflicts, policy exemptions and PEPs registers,
• Track and report on the progress of remedial actions and where appropriate, guide management in implementing necessary improvements.
• Keep abreast of best practice and external developments in the area of monitoring and ensure that learning is applied.
• Undertake special investigations as required in response to breaches or other issues arising.
• Identify and escalate at the earliest opportunity any significant regulatory issues to the line manager in a clear and accurate manner.

Experience

• Ideally educated to a degree level or equivalent standard. FSI or equivalent (level 3 or 4) is desirable but not essential as overall experience will be considered.
• Minimum of 5 years experience within financial services or a similar regulated industry
• Expert knowledge of FCA regulations
• Good attention to detail and proven accuracy skills
• Proven ability to take 'big picture' strategic view, whilst being able to work at a detailed level.
• A team player, with the ability to work unsupervised.
• Effective oral and written communication skills.

Please note:
As you can appreciate we are currently overwhelmed with applications of individuals looking for both short term and permanent work and we can therefore only contact those applications that have relevant skills for positions that we currently have available. Should you not hear from us within a week, please assume you have been unsuccessful on this occasion.
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