Compliance Partner

6 days ago

Leicester, United Kingdom Mattioli Woods Full time

We are currently recruiting for an additional Compliance Partner to join our team in Leicester on a full-time, on a permanent basis.

This is a hybrid role, the successful applicant will be expected to work from the Leicester office, with some flexibility on remote working.

THE ROLE

Our Compliance Partners provide group-wide guidance to all levels throughout the group, to ensure a positive, regulatory compliant and great client outcome is achieved.

RESPONSIBILITIES

The successful applicant will be responsible for supporting in the delivery of compliance guidance to all levels throughout the group. Other responsibilities may include, but are not limited to:
- review and respond to compliance queries efficiently and accurately- carry out second line monitoring as per agreed timetable for advice, product and/or processes- review/approve financial promotions and ensure group communications are compliant- provide compliance oversight, guidance, and support on relevant group projects- highlight improvement areas through root cause analysis and effectively communicate these to the group where appropriate- promote a positive, solutions driven and collaborative compliance culture group-wide

WHAT YOU NEED TO SUCCEED- a minimum of 3 years’ experience working in a financial service regulatory environment ideally in second line compliance- detailed knowledge of FCA handbooks PRIN, SYSC, COBS, PROD and DISP- demonstrate good awareness of industry relevant compliance issues internally and industry wide- ability to organise and prioritise workload to ensure deadlines are met- demonstrates clear and precise verbal and written communication at all levels- Compliance Universe
- Breaches and Conflicts of Interest
- 2nd line monitoring and thematic reviews
- Policy and process design, review and training
- Mergers, acquisitions, and integrations

BENEFITS YOU GET IN RETURN

In addition to excellent career progression - with fantastic opportunities for promotion - training, support, and a great office environment, you will also have the exciting opportunity to take part in charity fundraising events and other social activities.

Your benefits package includes (but is not limited to) the following:
- Share Incentive Plan- Group Pension- Life Assurance- Income Protection- Health Cash Plan

It is flexible so that means you can pick benefits to suit you

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