Application Form

Compliance Officer

West Malling

Up to £29,500

Full Time, Permanent

Fantastic opportunity for a dynamic, enthusiastic, and highly professional Compliance Officer to join a large, successful and well reputed business in West Malling.

The ideal candidate will ideally have previous experience working within the Financial Services industry.

Duties include:

  • Supporting and coordinating the annual review of the risk-based Compliance Monitory Plan
  • Undertaking monitoring/testing in line with the CMP
  • Analysing and preparing conclusions based on the results and producing reports
  • Bringing early attention of instances where breaches of policy are suspected
  • Taking responsibility for monitoring and following up the implementation of agreed corrective actions
  • Supporting the business from a compliance perspective, through the implementation of the regulatory change
  • Supporting the Compliance Manager and the 1LOD with their regulatory reporting requirements and process, maintaining the regulatory reporting schedule, and submitting returns in a timely manner
  • Providing regulatory guidance and support toward the development and maintenance of policies and procedures
  • Responding promptly to requests for advice or information on compliance and regulatory matters
  • Supporting colleagues with the Senior Managers and Certification Regime (SMCR) through guidance, advice, completion of applications and requirements.
  • Developing and maintaining the profile of the Risk and Compliance Team by remaining trusted, supportive and collaborative
  • Being an advocate of the three lines of defence model
  • Driving a good conduct and culture throughout the business
  • Attending the Compliance Committee as a member to assist in making decisions around the focus of future monitoring and implications of regulatory change across the business
  • Assisting in the preparation of Compliance Board and Executive committee reports as required
  • Representing Compliance at Executive and Operational Committees and present the Compliance Dashboard as required

The successful candidate will have:

  • Significant compliance experience gained in a financial institution
  • Understanding of risk methodologies and risk related control frameworks
  • A Level's or equivalent and an ICA Compliance Certificate or equivalent (or working towards)
  • Knowledge of FCA and PRA rules and regulatory requirements
  • The ability to communicate effectively
  • IT skills including the use of Excel, PowerPoint and Word

You will be joining a company who genuinely invest in and value their workforce, offering opportunities for progression in the long term, as well as a plethora of generous benefits, team incentives and a fun, sociable working environment.

The company is based in modern, open plan offices are in a prime location, with great facilities.

If you feel you have the experience required, please apply online for immediate consideration!

This role is being managed by Nicole Hill, Recruitment Consultant for Pearson Whiffin Recruitment.

Please enter a valid email address as this will be used to contact you.

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