Financial Compliance Executive

4 weeks ago


Ipswich, United Kingdom TIME Appointments Ltd Full time

Our client is looking for a Compliance Executive in the financial services industry, to deliver expert compliance advice and monitoring services to the firm. This will help maintain compliance with existing and new requirements, regulations and standards.The client is looking for someone with compliance experience within a financial services environment.

**Key Duties;**
- Assisting with change management projects in response to new regulatory requirements
- Assessing and helping to prepare responses to regulatory Consultation papers where appropriate, especially those issued by the FCA.
- Contributing to the production of regulatory update newsletters
- Providing a proactive advisory service to all areas of the firm on regulatory matters
- Reviewing and approving research and marketing material, to ensure that it complies with the Financial Services and Markets Act 2000 and the COBS Financial Promotions rules and guidance
- Assisting with the investigation and response to client complaints including those referred to the Financial Ombudsman Service (FOS)
- Participating in any of the ongoing projects of the department and covering for other Compliance Executives (holiday/absence) as required
- Preparing/amending policies, procedures or guidance to reflect regulatory requirements and to address the results of compliance reviews.
- Assisting with the preparation and provision of training to all areas of the business on regulatory matters
- Carrying out routine compliance monitoring and following up on matters arising
- Participating in ad-hoc compliance reviews and branch visits on topical issues
- Ensuring that any adverse findings from these reviews are escalated, and monitoring any actions taken to resolve issues.

**Experience;**
- Educated to degree level standard or equivalent (Ideal)
- At least 2 years’ compliance experience, preferably in the Financial Services Industry
- An interest in Compliance and an understanding of the UK Financial Services Regulatory Environment



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