Compliance Officer
4 weeks ago
My client is a small Financial Services provider based in the East Midlands. Due to a restructure of the Compliance department they are currently recruiting for a Compliance Officer.
Reporting to the Compliance Manager your main responsibilities will include;
- Assist with the development of plans, policies, procedures and systems in relation to conduct risk
- To assist with the interpretation of regulation / legislation in order to provide advice, support and guidance
- To check financial promotions, marketing and non-marketing literature
- To check mortgage products and ESIS templates
- To act in a regulatory compliance advisory capacity for all relevant projects
- To provide compliance support to Operational Teams
- To carry out, evidence and report on oversight of regulated complaints handling and management.
- To act as contingency for any other compliance team tasks/activities
- To undertake Legal and Regulatory tracking (horizon scanning)
- To assist with the preparation of Management Information (MI), internal and external reports
You will be a Compliance professional with a minimum of 2 years experience. My client offers a competitive salary and benefits package and hybrid working.
**Salary**: £38,000.00-£42,000.00 per year
Schedule:
- Monday to Friday
Work Location: In person
Reference ID: 12345
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