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Job

Senior Compliance Officer

  • Location

    London, UK

  • Sector:

  • Job type:

    Permanent

  • Salary:

    £85,000

  • Contact:

    Cellan Williams

  • Contact email:

    c.williams@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    C9988

  • Published:

    over 1 year ago

  • Duration:

    Perm

  • Expiry date:

    2019-08-31

  • Startdate:

    ASAP

Responsibilities:

  • Development, control and implementation of the Compliance Monitoring Plan inclusive of all testing and record keeping.
  • Themed reviews of core company processes; for example, Financial Crime Prevention, Data Protection (GDPR), Conduct Risk, SM&CR and Vulnerable Customers.
  • Review and update of company policies for regulatory and internal alignment.
  • Produce monthly reporting and commentary on the progress of compliance monitoring.
  • Maintain records of all regulatory events and decisions taken ensuring compliance with all regulatory reporting requirements, liaising closely with regulators.
  • Build internal business relationships to partner on projects providing compliance oversight and advice.
  • Support implementation and provide assurance of appropriate staff compliance training.

You’ll have:

  • Detailed understanding of FCA Handbook, MLR, PSDII, GDPR, SM&CR and Conduct Rules.
  • Experience in regulatory reporting and experience communicating with the regulator.
  • Compliance advisory & monitoring experience in an FCA regulated environment, preferably retail bank or EMI.
  • Confidence and proven ability to communicate at senior level.
  • Show excellent understanding and interpretation of emerging compliance issues.
  • Writing policies and procedure manuals and overseeing their implementation.
  • Awareness and understanding of wider business, economic and regulatory environment.