Compliance Officer

Compliance Officer

Location: Durham (DH1 1SL), Lytham St Anne’s (FY8 4TS), Glasgow (G2 8JX), London (SW1 3BT)

Salary: c£47,800 London; c£44,620 Durham, Lytham, Glasgow

The Role

Working as part of the Compliance Team responsible for implementing and delivering the Compliance function in line with the organisation’s compliance policies. This role is part of a team working in the following core areas:

• Representing the Compliance function on business projects and providing appropriate advice and guidance.
• Represent the Compliance function with the successful implementation and onboarding of new GPS clients, and in the ongoing delivery in line with all clients’ compliance requirements
• Providing guidance on the creation of and reviewing and approving financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures. Providing guidance and support to the organisation and Business delivery partners to ensure that financial promotions best practice is embedded within the business.
• Providing guidance on the resolutions and remedial action required for business incidents
• Managing the process of and responses to Freedom of Information (FOI) requests received by the business within statutory timescales.
• Providing advice and guidance to Business delivery partners and the organisation complaints team on complex customer complaints and policy interpretation.

The team objective is to ensure that the organisation is compliant with laws and regulations and that reputational risk is managed where business decisions are taken.

Skills and Experience

Essential Experience:

Extensive experience which has included the following aspects:

• In-depth knowledge and understanding of all rules, regulations, codes of practice, guidance and industry best practice relating to advertising and customer communications applicable in the financial services industry
• Working knowledge of the FCA’s rules relevant to retail financial services/cash deposits, in particular BCOBS, and the ASA codes of conduct for advertising.
• Experience of writing policies and procedures to ensure they are reflected correctly in customer comms and vice versa.
• Working knowledge of operational processes

Essential technical knowledge and skills:

• Good communication (both written and verbal) skills.
• The ability to work well under pressure and be able to multi-task
• Excellent organisational skills and proven experience of meeting deadlines.

Behaviours

They'll assess you against these behaviours during the selection process:

• Communicating and Influencing
• Delivering at Pace
• Making Effective Decisions
• Managing a Quality Service
• Working Together

They only ask for evidence of these behaviours on your application form:

• Delivering at Pace
• Making Effective Decisions

Technical skills

They'll assess you against these technical skills during the selection process:

• Working knowledge of the FCA’s rules relevant to retail financial services/cash deposits, in particular BCOBS, and the ASA codes of conduct for advertising.

Benefits

• Learning and development tailored to your role
• An environment with flexible hybrid working options
• 9 day fortnight scheme
• A culture encouraging inclusion and diversity
• A Civil Service pension with an average employer contribution of 27%
• Generous annual leave - starting at 25 days, increasing to 30 days
• Performance related variable pay bonus
• Enhanced maternity, paternity, adoption and shared parental leave

To Apply

If you feel you are a suitable candidate and would like to work for this reputable organisation, then please click apply to be redirected to their website to complete your application.