Compliance Officer

3 days ago

Bracknell, Bracknell Forest, United Kingdom Signet Recruitment and Retention Full time
Main Responsibilities:

Support the Compliance Manager in ensuring that HME meets its legal and regulatory obligations.

Provide expert regulatory advice and guidance to the business on a range of compliance topics including Consumer Duty, credit broking requirements within the Consumer Credit Sourcebook (CONC), and Data Protection.

Undertake monitoring and testing activities in accordance with HME's Annual Compliance Monitoring Plan, to assess the effectiveness of regulatory and conduct risk control processes in place, the level of compliance with regulatory and internal standards, and transactional monitoring of key operational areas such as complaints and Data Subject Access Requests.

Produce written reports of monitoring outcomes, review findings and action plans.

Review and support the business to log breaches and incidents, ensuring accurate records are maintained to evidence closure of remedial actions taken.

Conduct root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks that inform continual improvement of policies, processes, and procedures and delivery of good customer outcomes.

Assist with the collation of risk and compliance Management Information (MI) for reporting to senior management, Committee(s) and/or Board meetings. Conduct annual thematic reviews of operational end-to-end processes and provide a final report to the relevant business area.

Candidate Requirements:
  • Detailed technical knowledge and FCA Handbooks including CONC, DISP, PRIN and SYSC, legislative frameworks such as AML and Data Protection, and understanding of industry best practice standards.
  • Previous experience working within a compliance and/or risk department of a FCA regulated company.
  • Practical understanding and experience of the FCA's expectations in relation to customer outcomes and treatment of vulnerable customers.
  • Ability to analyse and translate regulations into policies, processes, and procedures.
  • Ability to draft documents/reports to a high standard.

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