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Compliance Risk Officer

2 months ago

london city of london, United Kingdom cer Financial Ltd Full time

Regulatory Compliance Officer

  • Employment Type: Full-time / Permanent
  • Industry: Banking
  • Work Arrangement: 3 days per week in-office
  • Salary: Up to £60,000

Key Responsibilities

Day-to-Day Operations

  • Foster a culture of compliance and ethical conduct within the organization.
  • Proactively manage performance metrics and objectives.
  • Develop robust control and reporting frameworks, ensuring proper segregation and resilience.
  • Ensure timely escalation and reporting of risk and control challenges.
  • Adhere to human resource policies and procedures, including appraisal requirements.
  • Ensure compliance with internal policies and conduct regulations.
  • Uphold staff morale and productivity levels.
  • Manage customer inquiries and regulatory audit requests promptly.
  • Maintain professionalism in all work-related interactions, including with colleagues and stakeholders.

Advisory and Policy Implementation

  • Assist in the creation, design, and revision of regulatory compliance policies to mitigate regulatory risks.
  • Enhance business relationships through proactive engagement and identification of regulatory risks, collaborating with management and staff to establish effective systems and controls.
  • Conduct horizon scanning of compliance regulations and changes, preparing gap and impact analyses.
  • Provide guidance to staff on regulatory compliance matters, focusing on best practices and desired outcomes.

Monitoring and Risk Assessment

  • Develop and execute compliance monitoring activities to evaluate the effectiveness of the regulatory compliance framework and adherence to requirements.
  • Support the timely generation of internal and external regulatory reports and related management information.
  • Conduct compliance risk assessments for new products and system enhancements.
  • Facilitate the delivery of regulatory training, maintaining accurate training records and attestations.
  • Assist with internal and external compliance audits and subsequent remedial actions.

Company: Cer Financial Ltd