Compliance Advisory Officer

3 days ago

Ipswich, United Kingdom Lloyd Recruitment Services Ltd Full time

**Compliance Advisory Officer**

**£45-55,000 p/annum ** Mon-Fri ** Hybrid after qualifying period ** Corporate benefits package**

Our client is a global organisation linked to the financial services and have a new permanent opportunity for someone to join their Compliance division, which leads the management and coordination of the requirements of their global regulators.

As a team they:

- Proactively support the business by generating sustainable value, helping to deliver good client outcomes, manage its’ conduct, protect against regulatory risk, and maintain strong regulatory relationships - forming a second line of defence independentof the daily business activities.
- Lead the management and co-ordination of Compliance policies and procedures, identifying applicable regulatory requirements and assisting in implementing relevant processes to enable standards to be met.
- Provide guidance and training.
- Monitor compliance with regulatory obligations and implemented controls within the Compliance Program.

The role covers:

- Check for regulatory developments and report any new or proposed regulation or legislation that may impact the business and compliance stakeholders.
- Support analysis of performance data and monitor findings to identify potential weaknesses in internal controls.
- Assess whether policies and procedures, systems and controls fully address the specific regulatory or compliance strategic requirements applicable to the relevant business.
- Support the closure of Compliance owned actions and supporting the closure of regulatory recommendations following internal/external audits.
- Identify compliance training needs for Gifts Entertainment and Hospitality, Financial Promotions and Third Parties, within the relevant business. Development and delivery of compliance training ensuring appropriate compliance and business input.
- Championing Compliance at all levels of the relevant business, support and provide pragmatic risk-based advice and counsel to all appropriate stakeholders as well as provide effective challenge and oversight.
- Provide technical regulatory advice and support to the relevant business and other stakeholders in understanding their responsibilities and obligations under relevant policies and regulatory requirements. Engage with operational areas to assist with formulatingcompliance best-practice procedures that are balanced to meet the needs of the business, the customers and regulators.
- Triage, prioritise and/or respond to ad-hoc compliance and regulatory queries from business management and colleagues.
- Participate in Compliance Function ad-hoc strategic or operational projects as requested. Engagement with other areas of the wider compliance community to explore areas where Advisory could be utilised.
- Record keeping in line with regulatory requirements and/or policies and procedures.
- Provide compliance approval under specific control frameworks, e.g. Financial Promotions, Gifts, Entertainment & Hospitality, third party relationships, and/ or marketing materials.
- Responsible for supporting the escalation of material issues, incidents and breaches to relevant business and Compliance leadership and other functions, e.g. Legal and Risk.
- Support the compilation and delivery of compliance records or information requested by internal/external auditors.
- Deliver CCT activity MI and analysis, reporting to relevant stakeholders within the Compliance Function.
- Foster close relationships with other Functions including Legal, Risk and Internal Audit.
- Participate in internal Compliance team meetings as requested.

The requirements:

- Strong experience of Financial Promotions related to insurance and/or pension products
- Proven experience working within the insurance, investments or employee benefits market
- Good knowledge of the FCA regulatory environment and controls
- Good knowledge of industry practices
- Can work independently on Compliance tasks
- Excellent communication skills, verbal and written
- Attention to detail and problem-solving skills
- Must be a strong team player with good interpersonal skills and actively contributes in meetings
- Proactive and ability to work under pressure to tight timelines and without direct supervision
- Organised and methodical
- IT literate - good knowledge of Microsoft office packages needed

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