Regulatory Compliance Specialist

7 days ago


St Albans, Hertfordshire, United Kingdom Outsourced Professional Administration Limited (OPAL) Full time

Job Summary

The Compliance Manager will provide a critical function in ensuring that all relevant activities adhere to regulatory requirements. This includes collaborating with the Head of Compliance and Risk to ensure procedures and services delivered meet regulatory standards.

Key Responsibilities

  • Provide Compliance and Risk oversight, including Data Protection advice and guidance
  • Contribute to regulatory returns and ensure they are completed accurately and in a timely manner
  • Review and communicate relevant regulatory developments to ensure the business is prepared
  • Act as a second line defence to identify and monitor risks and provide feedback to the Head of Compliance & Risk
  • Contribute to the Compliance Monitoring Plan to analyse compliance with regulatory requirements
  • Contribute to OPAL's Breach Register and ensure Breaches are reported and completed to a high standard
  • Contribute to OPAL's complaint management service, including maintaining the OPAL clients Complaint Register

Requirements

  • Minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors
  • Appropriate qualifications in financial services, including a good understanding of the FCA handbook and data protection
  • Good interpersonal and communication skills, with the ability to build strategic relationships


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