Compliance Officer

4 months ago

Bristol, United Kingdom Triodos UK Full time

**Profile**:
**Who we are**:
Triodos Bank is an award-winning organisation and one of Europe’s leading sustainable banks, whose mission is to make money work for positive social, environmental, and cultural change. We offer a wide range of banking services for people who want to use their money consciously - from current accounts through to investments and savings. We only finance companies, organisations and projects that benefit people and the environment.

Our mission is
- To help create a society that promotes people’s quality of life and that has human dignity at its core
- To enable individuals, institutions, and businesses to use money more consciously in ways that benefit people and the environment, and promote sustainable development
- To offer our customers sustainable financial products and high-quality service

We’re a certified B Corporation, meaning that we are part of a community of businesses driving the shift to a new kind of economy, that is better for workers, better for communities and better for the environment.

**The Opportunity**:
Due to continued growth, we are excited to be recruiting for a Compliance officer to join our Compliance team at our Bristol Head Office. This is a full-time 12-month Fixed Term Contract (FTC) role that offers the benefits of a flexible hybrid working. Typically, this would require 2 days in our Bristol office per week with a choice of working from home on the other days (following an initial induction period).

Reporting to the Triodos Bank UK (TBUK) Senior Compliance Manager, the overall purpose of this role is to provide second-line advice, guidance, and assurance regarding regulatory risk exposure including TBUK's compliance with relevant regulatory requirements.

Key responsibilities will require you to:

- Use a risk-based approach, within the parameters of the TBUK risk appetite, to proactively seek improvements in business activity to mitigate regulatory risk.
- Support TBUK Compliance monitoring reviews across all areas of TBUK, using the TBUK Risk Management Framework to establish and report on areas of risk. Interaction with Group Compliance is required on a regular basis to fulfil the Group Compliance Monitoring Plan.
- Confidently and diplomatically determine, in partnership with business units (all levels including the Management Committees and the Executive Risk Committee), clear and timely action plans to mitigate compliance risk exposure identified to be outside of the Triodos risk appetite during Compliance engagement/oversight and monitoring activities.
- Produce required reports and action plans, including for Group Compliance and, where required, periodic reports for TBUK governance fora including the Executive Risk Committee and the Board Risk Committee. Reporting output must include analysis of current risk exposure and potential mitigation measures.
- Understand and translate the impact of external developments and Triodos internal business strategy and principles to risk frameworks and policies for all areas of the business.
- Proactively and pragmatically deliver Compliance advice and guidance, including monitoring output, anticipating risks and, where appropriate challenging in a confident and diplomatic manner so that clear solutions are achieved.
- Where applicable, monitoring through to completion, action plans generated from UK Compliance thematic reviews.
- Perform analyses of relevant legislative and regulatory change to provide clear, timely guidance to the business.
- Provide support to local functions, whilst having the strength of character and tenacity to follow up any concerns and challenge where appropriate, to deliver accurate and effective mitigation of Compliance risk.
- Support the Senior Compliance Manager by maintaining oversight of the operational effectiveness of TBUK systems and controls designed to achieve compliance with UK regulatory requirements. Assisting in preparing regulatory notices to the Financial Conduct Authority (FCA) as part of TBUK’s statutory reporting requirements.
- Comply with all regulatory obligations and internal governance requirements to help ensure ethical behaviour which delivers fair outcomes for TBUK customers.

**What we are looking for**:
To be successful in this role, you should have a strategic working knowledge of the UK financial services market, regulatory and industry bodies, and European regulations, including the FCA, Anti-Money Laundering (AML) legislation and guidance, data protection, and other key compliance topics related to TBUK’s market activity, such as Client Assets (CASS) and Consumer Duty requirements. A compliance qualification is highly desirable.

A proven track record of experience in a compliance-related role within UK financial services, with experience in compliance monitoring, project support, and the provision of technical advice and guidance, ideally relating to retail banking and investment products.

You should be comfortable with organiz

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