Compliance Assistant

2 weeks ago

Milton Keynes, United Kingdom Reed Insurance Full time

OVERALL OBJECTIVE OF ROLE

The primary role of the Compliance Officer is to assist the Head of Risk & Compliance, the
Senior Management Team and the business to protect the assets, reputation and
sustainability of the firm. This is done by ensuring that the risk and compliance framework
is operating in a robust and effective manner across all entities of Options UK.

KEY RESPONSIBILITES
- Work with the Risk and Compliance team in developing and promoting a strong
risk and compliance culture within the business
- Provide assistance and guidance on compliance related queries from the firm
- Assist in the development of the Compliance Monitoring Programme
- Reporting to the management structure about the firm's compliance with the
particular adherence to the SMCR regime, COBS, SUP, SYSC and CASS
- Identify systems, procedures and control improvements
- Ensure current system and controls are effective and embedded within the firm
- Creating and implementing plans to meet conduct risk and regulatory
requirements and continue to drive through change to ensure the business
remains compliant with its regulatory obligations and has a culture of fair
consumer outcomes and treatment of customers
- Maintaining compliance policies and procedures, systems and controls remain
compliant and are regularly reviewed
- Maintain relevant compliance registers, including the breaches register, CASS
register, high risk client register, conflicts register, gift register etc.
- Undertake files reviews as instructed by the Head of Risk and Compliance and
liaise to address any issues identified
- Produce compliance related management information as required for monthly
and quarterly board reporting

EXPERIENCE REQUIRED

Minimum 2 years post qualification experience in a relevant compliance function within a financial services environment
Technical Expertise:

- Risk management
- Data management
- Regulatory framework
- Compliance knowledge
- Development of policies, procedures and controls

This is a MILTON KEYNES COMPLIANCE OFFICE BASED ROLE PLEASE ONLY APPLY IF YOU ARE AVAILABLE TO DO THIS AND SKILLED,

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