Compliance Specialist
3 weeks ago
The Compliance Professionals are seeking a highly skilled Compliance Manager to join their team in St Albans. This is an excellent opportunity for a qualified professional to work in a boutique financial services firm.
This role presents a unique chance to contribute to the Compliance function and ensure it is adequately supported. The successful candidate will provide guidance on regulatory developments and contribute to regulatory returns.
Main Responsibilities:
- Ensure regulatory engagement, procedures, and monitoring activity support mandatory requirements
- Provide Compliance and AML oversight, Data Protection advice, and guidance
- Contribute to accurate and timely completion of regulatory returns
- Communicate relevant regulatory developments and ensure business preparedness
- Support day-to-day compliance breaches and complaints handling
- Act as second-line defence to identify and monitor risks
- Provide ad-hoc compliance training and coaching
- Contribute to the Compliance Monitoring Plan and analyse company compliance with regulatory requirements
- Manage Breach Register and complaint management service
- Analyse breach causes and implement remedial actions
- Operate PEP and Sanctions screening tool
- Maintain Compliance Manuals
Requirements:
- Minimum 5 years' experience in Financial Services, preferably in Investment and Life Protection sectors
- Appropriate qualifications in financial services
- Excellent interpersonal and communication skills
- Sound judgement and commercial outlook
- Awareness of FCA handbook, data protection, and ISO27001 Standard
Salary and Benefits:
We offer a competitive salary of £65,000 per annum, depending on experience, plus a competitive pension scheme and opportunities for professional development.
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