Compliance Partner
1 month ago
The Compliance Partner provides group-wide guidance to all levels throughout the group, to ensure a positive, regulatory compliant and great client outcome is achieved.
**The role will involve**:
- Review and respond to compliance queries efficiently and accurately
- Carry out second line monitoring as per agreed timetable for advice, product and/or processes
- Review/approve financial promotions and ensure group communications are compliant
- Provide compliance oversight, guidance, and support on relevant group projects
- Highlight improvement areas through root cause analysis and effectively communicate these to the group where appropriate
- Promote a positive, solutions driven and collaborative compliance culture group-wide
**Key Requirements**:
- a minimum of 3 years’ experience working in a financial service regulatory environment ideally in second line compliance
- detailed knowledge of FCA handbooks PRIN, SYSC, COBS, PROD and DISP
- demonstrate good awareness of industry relevant compliance issues internally and industry wide
- Compliance Universe
- Breaches and Conflicts of Interest
- 2nd line monitoring and thematic reviews
- Policy and process design, review and training
- Mergers, acquisitions, and integrations
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