Aircraft Compliance Officer
1 week ago
NLB Solutions is seeking a seasoned Compliance Manager to join their team. As a key member of the organization, you will report directly to the CFO and lead a small team in providing Compliance and Risk services to the firm and its employees.
The ideal candidate will have a minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 3 years in the Compliance sector. They will possess appropriate qualifications in financial services and excellent interpersonal and communication skills.
Key Responsibilities:- Ensure the Compliance function has adequate regulatory engagement, procedures, and monitoring activities to support mandatory requirements.
- Provide Compliance and AML oversight, Data Protection advice, and guidance to the team.
- Contribute to the accurate and timely completion of regulatory returns.
- Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with new requirements.
- Ensure all day-to-day business as usual compliance breaches and complaints handling support is provided in a timely manner.
- Act as a second-line defence to identify and monitor risks and provide a feedback loop to the Head of Compliance & Risk and the Operational Practice of the business.
- Provide ad-hoc compliance training and coaching to the team.
- Contribute to the Compliance Monitoring Plan to analyze the company's compliance with regulatory requirements, including FCA obligations, Data Protection, Fraud Prevention, and measures.
- Contribute to and maintain the company's Breach Register, ensuring breaches are reported and completed to a high standard and within agreed SLAs.
- Analyze the causes of regulatory and procedural breaches and ensure practical remedial actions have been taken to mitigate against future occurrences.
- Escalate any ISO security risks within the business.
- Implement controls, document procedures, and complete risk assessment reviews as required.
- Ensure that any Compliance security breaches are completed within 24 hours as per procedures.
- Minimum of 5 years' experience in Financial Services, preferably in the Investment and Life Protection sectors, with at least 3 years in the Compliance sector.
- Appropriate qualifications in financial services.
- Good interpersonal and communication skills and ability to identify and build important strategic relationships internally and externally.
- Display a commercial outlook.
- Awareness of the FCA handbook and Data Protection.
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