Compliance Officer

Due to rapid growth, our Asset Finance client is looking for add to their Governance team with the appointment of a Compliance Officer. There is an expectation to work in their London office 1 day per week.

This wide-reaching role offers the opportunity to engage in all aspects of their compliance and operational risk activities. You will assess 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 their reg tech platforms.

Responsibilities include:

• Ensure the business achieves and maintains compliance with current and future FCA requirements.
• Develop and maintain compliance policies and training material.
• Support the firms 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 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 in the 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 with Subject Access Requests including gathering and analysis of data.
• Manage conflict of interest process.
• Attend industry forums on related topics.

Competencies:

• 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
• Understanding of AML policies and procedures (including sanctions, bribery and corruption).
• Good understanding of UK data protection laws and practical implications.
• Knowledge of FCA regulations.
• Prepared to take ownership and drive improvements.

Benefits include:

• Bupa healthcare and private medical insurance
• Pension from day 1 - employer contribution of up to 10%
• 4 x Death in service upon passing probation
• 25 days holiday pa, plus bank holidays and 1 day leave for birthdays