Legal Risk and Compliance Officer
3 weeks ago
Compliance Officer Financial Services
GBP29,000 GBP31,500 per annum plus bonus
Permanent office-based role working full time Monday to Friday.
Hawk 3 Talent Solutions are working with a well-established company based in Hull East Riding who are looking for an experienced Compliance Officer to join their team.
You will be an experienced compliance officer who will be working within the Operations Department. As an integral part of the Compliance Team, you will play a pivotal role in the successful delivery of the compliance monitoring plan and advancements to our risk management framework.
Conduct file checks, departmental assurance, risk, client outcome and third-party due diligence monitoring and oversight activities
Collaborating with the Compliance and wider teams to develop the 1st and 2nd line of defence approach to risk management
Supporting the Compliance Team in the preparation and collation of regulatory reporting
Providing guidance on the creation of, and review and approval of financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures
Developing compliance working papers, testing and management information including outcomes reporting
Providing oversight and maintenance of agency, introducer, appointed representative and third party contract management variations, assessments, and maintenance
Completion of general compliance team administrative tasks, record keeping and maintenance
Minimum of 2 years compliance /quality assurance and or risk management experience, within an FCA regulated business
Good working knowledge e of the UK regulatory framework and experience with FCA or PRA handbooks, such as IDD and FCA ICOBS, SYSC, SUP, PROD, DISP. Commercial awareness of changing regulatory requirements and trends
Understand application and enhancement of 3LOD risk management model
Capable of compiling, analysing, and interpreting management information and data to Facilitate problem solving, decision making and effective change
Ability to develop strong, effective relationships at all levels of business, adapting content and tone to suit audience
If you would like to apply for the role of Compliance Officer then please email your CV to (url removed) or call Deb on (phone number removed)
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