Legal Risk and Compliance Officer

1 month ago


Crewe Cheshire, United Kingdom Page Personnel Sales Full time

This firm specialises in providing a wide range of financial products and services to their clients, ensuring their financial well-being and security. The company is committed to maintaining the highest standards of regulatory compliance and ethical conduct in all operations.
As Compliance Officer, you will play a key role in ensuring that the firm adheres to all regulations, laws and other industry standards. Carrying out regular reviews and assessments of the company policies, procedures and operations, to ensure compliance with FCA regulations and industry standards
Developing and implementing the compliance monitoring programs and processes to identify and mitigate potential compliance risks
Monitor changes in regulatory requirements and industry trends to ensure that the company's compliance policies remind up-to-date
Collaborating with internal departments including legal, risk management and operations, to address compliance issues and implement remedial actions as necessary
Prepare comprehensive reports detailing the results of compliance monitoring activities and recommendations for improvement
Assist in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance
Respond to inquiries and requests from regulatory authorities and external auditors regarding the compliance procedures
Participating in internal audits and compliance reviews to assess the effectiveness of controls and identify areas for improvement
Significant experience working in a compliance role within financial services
Strong knowledge of FCA regulations, including but not limited to AML/KYC requirements, and data protection laws
Excellent analytical skills with the ability to interpret complex regulatory requirements and assess their impact on business operations
Excellent communication skills with the ability to effectively communicate complex compliance issues to stakeholders at all levels of the organisation
Detailed oriented with a high degree of accuracy in reviewing documentation and conducting compliance assessments
Qualifications such as ICA Certificate in compliance is preferred
As Compliance Officer, you will get:
~£30 days holiday
~ Company pension scheme
~ Working from home 1-2 days a week
~ Annual discretionary bonus
~ Social events
~



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