Compliance Officer

6 days ago

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

As a Compliance Manager at Outsourced Professional Administration Limited (OPAL), you will play a critical role in ensuring the firm's compliance with regulatory requirements. Your primary responsibility will be to provide a Compliance and Risk service to the firm and its employees, ensuring all relevant activities adhere to appropriate regulatory requirements.

Key Responsibilities:

  • Contribute to the Compliance team in association with the Head of Compliance and Risk to ensure procedures and services delivered adhere to regulations.
  • Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes, and pronouncements.
  • Engage with clients to enhance OPAL's service in the delivery of critical or important functions.
  • Participate in and contribute to the compliance culture of the broader management group of the businesses.

Principal Job Objectives:

  • Ensure the Compliance function has appropriate regulatory engagement, procedures, and monitoring activity to support mandatory requirements.
  • Provide Compliance and AML oversight and Data Protection advice and guidance.
  • Contribute to regulatory returns being completed accurately and in a timely manner.
  • Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with new requirements.

Requirements:

  • 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.
  • Awareness of the FCA handbook and data protection.

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