Compliance Risk Specialist

9 hours ago

Yorkshire, United Kingdom Clayton Davies Full time
Job Description

About the Role

We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Clayton Davies. As a key member of our compliance function, you will play a critical role in ensuring that our company adheres to regulatory requirements and internal policies.


Key Responsibilities:



  • Conduct regular reviews and assessments of our company policies, procedures, and operations to ensure compliance with FCA regulations and industry standards.
  • Carry out risk-based compliance monitoring reviews, ensuring that identified issues are addressed and recurrence risks are mitigated.
  • Assist the Compliance Monitoring Manager in developing and implementing the compliance monitoring program and processes to identify and mitigate potential compliance risks.
  • Collaborate with all internal departments to address compliance issues and implement remedial actions as necessary.
  • Generate clear, timely, and precise reports, both written and verbal, that highlight issues and propose recommendations for improvements or corrective actions.
  • Report any potential compliance breaches or conduct issues and ensure they are resolved efficiently and thoroughly.
  • Assist in the development and delivery of compliance training programs for employees to raise awareness of regulatory requirements and promote a culture of compliance.
  • Participate in internal audits and compliance reviews to assess the effectiveness of controls and identify areas for improvement.
  • Conduct focused reviews on customer outcomes across all product lines, using your expertise to evaluate customer experiences and recommend enhancements.


Requirements:


  • Understanding of FCA relevant FCA handbooks.
  • Significant experience working in a Compliance role within Financial Services.
  • Minimum of 3-5 years of experience in a compliance monitoring role or similar.
  • Strong knowledge of regulatory requirements and industry standards.

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