Compliance Officer Job No: BSNH/CO
Salary: £35,000.00 - £38,000.00 Location: West Malling Contract Type: Permanent
Posted: 30/08/2021

Compliance Officer

West Malling - C. £38k

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 and be proficient in dealing all compliance responsibilities.

Duties include:

  • Responsible for providing rigorous and accurate interpretation, advice, guidance, and consultation on regulatory requirements
  • Continuously providing support to senior management operations in making a first line of defence decisions on key issues and regulatory requirements
  • To comply with industry and regulatory requirements, ensuring key regulatory risks are understood, in particular, the FCA Handbook, the Senior Managers and Certification Regime and MiFID II. Delivering an appropriate framework to manage and control these risks
  • Complete and implement regulatory horizon scanning and regulatory changes process capturing and actioning all to ensure any cross overs are shared appropriately
  • Review and identify various consultation papers and relevant documentation from regulators to undertake analysis and share views recommending course of action to senior management across the board
  • Responsible for creating and leading an effective risk-based compliance monitoring plan, ensuring business delivery complies with applicable regulatory and industry best practice and enhancing the plan where necessary to reflect changes to strategy, business model and regulatory requirements
  • Oversee and prepare reports on Compliance, Risk and any other subject or risk related matters for escalation and discussion. Actively reviewing trends and recommending reviews of strategic operations
  • To compile Treating Customers Fairly, conduct and culture management information as part of compliance and risk reporting and monitoring
  • Ensuring all supervisory, regulatory, statistical returns and notifications are completed and submitted to the Financial Conduct Authority accurately and in a timely manner
  • Continuously support the business managing the update of all policies, manuals and operating standards, from a risk and compliance perspective. Assisting in the review of policies that crossover
  • Building and developing constructive working relationships with a range of external and internal partners and regulatory bodies, acting as the initial point of contact
  • Supporting and developing the knowledge of the organisation in the understanding of the Financial Services regulation (FCA)
  • Embracing conduct regulation by driving a good conduct and culture through the Business
  • Responsible for leading the annual review and update of the Risk Management Framework and Risk Appetite Framework with sign-off by the Executive and Board, ensuring they remain aligned to industry and regulatory requirements
  • Support the senior management to maximise risk opportunities within the laid down risk appetite and to maintain controls that are effective to the size and nature of business undertaken

The successful candidate will have:

  • Significant compliance experience gained in a financial Institution (namely deposit and investment related) or other similar environment
  • Understanding of risk methodologies and risk related control frameworks
  • A Level's, Post Graduate qualifications, or other Relevant professional qualification
  • Knowledge of FCA Regulations and MIFID II
  • Understanding of regulatory principles and approaches
  • Proficient using all MS Office applications including Excel

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.

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