Compliance Officer
3 weeks ago
About The Role
We have an excellent opportunity within the Conduct Risk Oversight and Compliance team, for a self-motivated, flexible and proactive Compliance Officer to join us to help support the Society’s regulatory and conduct risk monitoring and oversight. You will workwith the team to support the management of conduct and regulatory conduct risks and help deliver consistently good Member outcomes.
As part of the role you will provide an independent second line oversight of systems and controls in line with Financial Conduct Authority (FCA) regulatory requirements and industry guidance and practice through:
- Robust compliance monitoring of first line practices.
- Clear and effective verbal and written communication.
- Objective challenge over the management of regulatory and conduct risk.
- Agreeing action plans to mitigate regulatory and conduct risk.
- Provide regulatory and conduct risk advice/guidance to business stakeholders.
- Support the team with internal projects and business initiatives.
- Review and approve financial promotions, critical communications and other relevant materials in accordance with regulatory requirementsand Codes of Practice.
About You
- Substantial experience in a financial services firm and has a thorough understanding of the role of Compliance Oversight function. Previous experience in an oversight role (1st, 2nd, or 3rd line) is desirable.
- The ability to communicate with clarity, impact, and persuasion - both written and verbal - in a clear and concise manner, adapting communication styles to the audience.
- Can analyse, understand, and digest complex information to make an informed decision and can explain it clearly, simply, and concisely to influence and gain buy in with our stakeholders.
- Is proactive and highly motivated, to be able to work in detail and think about the bigger picture too. You’ll work closely with colleagues throughout the business and on your own.
- Takes ownership and accountability of work, deadlines, personal development, and meet challenges in a calm objective manner focusing on the potential solutions.
About the process
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