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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 dedicated Regulatory Compliance Analyst. This position is ideal for professionals with substantial experience in compliance monitoring who are looking to transition into a second line role.

As a Regulatory Compliance Analyst, you will play a pivotal 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 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 implications of Compliance and Conduct breaches, effectively communicating findings to relevant stakeholders and collaborating to implement corrective actions.
  • Produce clear, timely, and accurate 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 thoroughly.
  • 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 executing 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.