Compliance and Regulatory Expert

4 days ago


StokeonTrent, Stoke-on-Trent, United Kingdom Uniting People Full time
Job Description:

We are seeking an experienced Compliance and Regulatory Expert to join our team at Uniting People.

Key Responsibilities:

  • Support the Head of Compliance in delivering timely compliance reports to the business, ensuring accurate information is collected and presented.
  • Act as lead in monitoring compliance, conducting customer journey reviews, second-line monitoring, and key risk/control reviews to identify potential issues.
  • Take ownership of responding to client audits and information requests, demonstrating a thorough understanding of regulatory requirements.
  • Log and document events, their potential impacts, and key considerations, maintaining a record of all activities.
  • Provide support and assistance in performing regulatory Gap Analysis, helping to identify areas for improvement.
  • Collaborate with the Head of Compliance on advisory activities, offering expert guidance and recommendations.
  • Support the collection of accurate information to meet regulatory reporting requirements, ensuring compliance with industry standards.
  • Offer SME support to the business on internal projects, providing valuable insights and expertise.
  • Assist with breach and incident investigations, applying knowledge of regulatory requirements to resolve issues efficiently.

Requirements:

  • A working knowledge of regulation and guidance, including FCA, Data Protection, OFCOM, CCA, and CSA Code of Practice.
  • A minimum of 2 years' experience in a compliance role within an FCA-regulated firm.
  • A recognised compliance qualification is desirable, demonstrating a strong foundation in regulatory principles.
  • Knowledge of the wider finance industry, including retail lending and credit reporting, is beneficial for understanding the broader context.
  • Strong analytical and problem-solving skills are essential for identifying and resolving compliance issues.
  • The ability to work independently, taking initiative to drive activities and meet deadlines.
  • Excellent interpersonal skills, adapting communication style and approach to suit different environments.
  • Calmness under pressure and the ability to respond to changing business demands.
  • Teamwork skills, collaborating with colleagues to achieve results.
  • Proficiency in Microsoft Office tools, including Word, Excel, PowerPoint, and Outlook.
  • Effective oral and written communication skills, conveying complex information clearly.
  • Attention to detail and a commitment to working to high standards.

Estimated Salary: £55,000 - £65,000 per annum, depending on location and experience.

Benefits:

  • Subsidised gym membership, promoting a healthy work-life balance.
  • Rewards platform, offering recognition and incentives for outstanding performance.
  • Flexible shifts, allowing time for personal activities outside work.
  • Employee Assistant Programme, providing confidential support and guidance.
  • Paid time off to volunteer at a charity of your choice, up to 2 days per year.
  • Enhanced family leave policy, supporting work-life balance.
  • Free onsite parking, convenience for employees.
  • Pension scheme, career development opportunities, and long service awards.
  • Casual dress code, regular social events, and complimentary tea and coffee.


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