Compliance Officer

3 days ago


Bracknell, Bracknell Forest, United Kingdom Marc Daniels Full time
Job Description

Marc Daniels is seeking a highly skilled Compliance Officer to join their team in Bracknell. As a Compliance Officer, you will play a crucial role in ensuring that the company meets its legal and regulatory obligations.

Main Responsibilities
  • Support the Compliance Manager in ensuring that the entity 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, and Data Protection.
  • Undertake monitoring and testing activities to assess the effectiveness of regulatory and conduct risk control processes.
  • 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.
  • Conduct root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks.
  • Assist in overseeing risk management activity at both departmental and business-wide levels.
  • Review and update applicable policies, processes, and procedures.
  • Provide sign-off of marketing materials and customer communications in accordance with FCA rules and guidance.
  • Assist with the collation of risk and compliance Management Information (MI) for reporting to senior management.
Requirements
  • Have worked in a regulated financial services firm.
  • Have the ability to understand and interpret legislation and regulation.
  • Have experience conducting second-line monitoring, both transactional and thematic.
  • Have experience producing management information.

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