Compliance Officer

6 days ago


Bracknell, Bracknell Forest, United Kingdom Signet Resources Full time

About the Role:

We are seeking an experienced Compliance and Risk Advisor to join our team at Signet Resources. As a key member of our compliance and risk department, you will play a vital role in ensuring our company meets its legal and regulatory obligations.

Main Responsibilities:

  • Support the Compliance Manager in ensuring that Signet Resources meets its legal and regulatory obligations.
  • Provide expert regulatory advice and guidance to the business on a range of compliance topics, including consumer protection, data protection, and anti-money laundering.
  • Undertake monitoring and testing activities to assess the effectiveness of regulatory and conduct risk control processes in place.
  • 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 to evidence closure of remedial actions taken.
  • Conduct root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks that inform continual improvement of policies, processes, and procedures.
  • Assist with the collation of risk and compliance Management Information (MI) for reporting to senior management and the board.

Requirements:

  • Detailed technical knowledge and understanding of regulatory frameworks, including the FCA Handbooks and industry best practice standards.
  • Previous experience working within a compliance and/or risk department of a regulated company.
  • Practical understanding and experience of the FCA's expectations in relation to customer outcomes and treatment of vulnerable customers.
  • Ability to analyse and translate regulations into policies, processes, and procedures.
  • Ability to draft documents/reports to a high standard.

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