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Regulatory Compliance Analyst

2 months ago

Kent, United Kingdom Barclay Simpson Full time

About the Role:

Our client, a prominent retail banking organization, is seeking a skilled Regulatory Compliance Analyst. This position is ideal for professionals with a robust background in compliance monitoring who are looking to advance their careers.

As a Regulatory Compliance Analyst, you will play a crucial role in executing risk-based assurance activities aligned with the Group's Annual Compliance Monitoring Plan. Your focus will be on the planning, execution, and reporting of thematic reviews and assessments of customer journeys to ensure adherence to regulatory standards while evaluating the effectiveness of key regulatory systems and controls.

Key Responsibilities:

  • Conduct thorough Compliance Assurance reviews across the organization to ensure compliance with internal policies, procedures, and legal standards, including Customer Journey assessments and Thematic Reviews.
  • Identify and assess the impact of Compliance and Conduct breaches, effectively communicating findings to relevant stakeholders. Collaborate to determine and implement necessary corrective actions.
  • Produce clear, timely, and detailed reports, both written and verbal, that outline issues and recommend improvements or corrective measures. Ensure that any potential compliance breaches or conduct issues are addressed promptly and comprehensively.
  • Perform targeted reviews on customer outcomes across various product lines, leveraging your expertise to assess customer experiences and suggest enhancements.

Your Qualifications:

  • Proven experience in conducting compliance or conduct thematic reviews/audits within a compliance framework.
  • Strong understanding and interpretation of FCA regulations and other essential regulatory areas.
  • In-depth knowledge of current FCA regulatory expectations concerning conduct risk, Consumer Duty, and customer outcomes, along with the latest industry guidance.
  • Familiarity with the MCOB, BCOBS, SYSC, PRIN, and COCON handbooks.

Compensation:

The salary for this position is competitive, with a base of up to £60,000.

Work Environment:

This role offers a hybrid working model, requiring three days in the office.