Compliance Officer Specialist

3 weeks ago

Eastern England, United Kingdom Rise2Recruit Full time

We are seeking a detail-oriented Regulatory Compliance Expert to join our dynamic Risk and Compliance team at Rise2Recruit. This role offers an exciting opportunity to play a critical part in managing distributor oversight, third-party activities, and ensuring robust compliance across the organization.

Key Responsibilities
  • Maintain and enhance distributor onboarding standards to ensure seamless integration with our processes.
  • Support first-line teams in collecting and analyzing distributor documentation to identify potential risks.
  • Provide provisional sign-off for potential new distributors to ensure compliance with regulatory requirements.
  • Conduct comprehensive monitoring and oversight of distributor portfolio to mitigate potential risks.

Compliance Oversight:

  • Develop and distribute detailed monitoring reports to stakeholders.
  • Collaborate directly with distributors and account managers to ensure effective communication.
  • Provide pragmatic, risk-mitigating compliance advice to management.
  • Offer expert guidance on compliance matters including onboarding, financial promotions, fraud, and consumer duty.

Regulatory Reporting & Compliance:

  • Own the RegData reporting process to ensure timely and accurate regulatory submissions.
  • Ensure compliance impacts for new and existing outsourced providers are properly scoped.
  • Conduct compliance training for outsourced providers to maintain high standards.
  • Review outsourced activities for regulatory adherence to minimize risks.

Financial Crime & Consumer Protection:

  • File Suspicious Activity Reports (SARs) with the National Crime Agency as required.
  • Manage CIFAS application and onboarding to ensure smooth processes.
  • Conduct consumer duty analyses for new partners to identify potential risks.
  • Review customer outcome data to inform business decisions.
  • Proactively identify and escalate potential areas of customer harm.

Required Skills & Experience:

  • Minimum 3 years of experience in financial crime and compliance.
  • Preferred experience with distributor oversight to drive efficiency.
  • Strong analytical and problem-solving skills to navigate complex issues.
  • Excellent communication and interpersonal abilities to collaborate effectively.
  • Ability to work independently while maintaining strong team collaboration.
  • Assertive and proactive approach to compliance management.
  • Highly organized with meticulous attention to detail to ensure accuracy.
  • Comprehensive understanding of current and emerging regulatory requirements to stay ahead.

This role is available in London, offering a competitive salary range of £50,000-£55,000 depending on experience.

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