Compliance Officer
3 weeks ago
We are currently recruiting for a Full Time, Permanent, Compliance Officer based in Mansfield.
**Hours of work**:
- Monday to Friday
- Paid basic hours: 35 Hours
**Salary**:
- £40,000 per year
- Based on 35 hours per week
**Benefits**:
- Competitive salary, annual bonus scheme, 23 days holiday plus bank holidays (+ ability to buy and sell holidays), health cash plan.
- 35 hour working week with hybrid working available
- A friendly and open culture where teams strive to do the right thing by their colleagues and our members
- An organisation with a strong sustainability agenda
- Access to a wide range of health and wellbeing resources
- A role/career with plenty of breadth and opportunity to develop your skills and experience
- An active social and community agenda (2 paid days per year for community work)
**Duties**:
- To support the Compliance Manager and the Risk and Compliance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions.
- To assist with / carry out the development of plans, policies, procedures and systems to ensure the department achieves its objectives in relation to conduct risk and treating customers fairly, compliance with MCOB, ICOBS, BCOBS, AML / Fraud prevention, data security, data protection, complaints, health and safety, and any other regulation / guidance as required.
- To interpret regulation / legislation in order to provide advice, support and guidance (as appropriate) to the business in the implementation of regulatory / legal requirements to ensure full compliance.
- To provide input into internal department and Society wide projects as required.
- To carry out, evidence and report on 2nd line Compliance monitoring activity and Monitoring reviews, to ensure compliance with regulatory, statutory and procedural requirements in accordance with the agreed Compliance Monitoring Programme and to provide feedback to relevant Managers.
- To carry out, evidence and report on 2nd line oversight of regulated complaints handling and management.
- To review compliance monitoring review work, including Branch Inspections undertaken by the Compliance Support Officer(s) and provide appropriate feedback.
- To ensure that regulatory requirements in respect of Anti Money Laundering (AML) and Terrorist Financing are complied with
- To carry out / assist in the recording, monitoring and reporting of all activities associated with Financial Crime (including AML / Terrorist Financing and Fraud).
- To check financial promotions, marketing and non-marketing literature to ensure compliance with regulatory and statutory requirements and provide appropriate feedback and advice to relevant staff.
**Experience**:
- Previous experience in a similar role within Financial Services
- Minimum 2 years previous experience of 2nd line Compliance oversight
**Knowledge of**:
- FCA Regulatory rules and guidance, including BCOBS, MCOB, ICOB, Complaints; Financial Promotions.
- Financial Crime - Anti-Money Laundering / Fraud Prevention
- Data Protection Regulations
- Ability to interpret and implement regulation / legislation
- Self-starter / problem solver with the ability to work using own initiative
- Ability to see the ‘bigger picture’
- Ability to work collaboratively with all areas of the business and liaise with staff at all levels across the business
- Good written and verbal communication
- Computer literate - Microsoft Word, Excel and Outlook
- Call Natalie on 01246 278000 between the hours of 8am - 5pm Mon-Fri
- Register for a call back from a consultant here
This vacancy is being advertised by Essential Recruitment (An Employment Agency)
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