Compliance and Risk Specialist
2 months ago
About the Job: We are seeking a highly skilled Compliance Officer to join our team in Stoke, Staffordshire.
Job Summary:
The successful candidate will be responsible for supporting the Head of Compliance in providing timely and accurate regulatory advice to the business, regular risk reporting, and second-line compliance monitoring over key controls and risks.
Duties and Responsibilities:
- Regulatory Advice: Provide timely and accurate regulatory advice to the business.
- Risk Reporting: Support the Head of Compliance in preparing regular risk reports.
- Compliance Monitoring: Act as lead in compliance monitoring, including customer journey reviews, second-line monitoring, and key risk/control reviews.
- Client Audits: Respond to client audits and information requests in a timely manner.
- Logging and Documentation: Log and document events, their potential impacts, and key considerations.
- Regulatory Gap Analysis: Support the Head of Compliance with performance of advisory activities and provide SME support to the business in relation to internal projects.
- Breach and Incident Investigations: Support with breach and incident investigations as required.
Requirements:
- Regulation Knowledge: Working knowledge of regulation and guidance, including FCA, Data Protection, OFCOM, CCA, and CSA Code of Practice.
- Experience: 2+ years of experience in a compliance role within an FCA-regulated firm.
- Qualifications: Recognised compliance qualification desirable.
- Industry Knowledge: Knowledge of wider finance industry, including retail lending and credit reporting, desirable.
- Skills: Strong analytical and problem-solving skills, self-motivated with ability to work on own initiative to drive activities and meet deadlines.
- Interpersonal Skills: Excellent interpersonal skills with ability to adapt style and approach in different environments.
- Communication Skills: Excellent oral and written communication skills.
- Attention to Detail: Excellent attention to detail and works to high standards.
Salary: £38,000 - £48,000 per annum.
Benefits:
- Gym Membership: Subsidised gym membership.
- Rewards Platform: Rewards platform available to employees.
- Flexibility: Shifts offer flexibility to do things outside work.
- Paid Time Off: Paid time off to volunteer at a charity of choice - up to 2 days per year.
- Enhanced Family Leave: Enhanced family leave policy.
- Free Onsite Parking: Free onsite parking available.
- Career Development: Career development opportunities and long service awards.
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