Senior Compliance Officer - contract

Kent  ‐ Onsite
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Description

My client are seeking a Senior Compliance Officer for a short term contract role, but with possibility of going perm if that is of interest.

3 months - £400-£450 per day.

Job Description:

Governance and Regulatory

  • To keep up to date with all relevant regulatory and legislative changes and raise potential and emerging risks with line management
  • Monitor to be compliant with all applicable law, regulation and best practice guidance which impacts on the activities of the bank
  • Support the Head of Compliance Monitoring in developing and maintaining the compliance monitoring framework
  • Complete the non-financial regulatory returns to the FCA and ICO

Monitoring

  • To deliver compliance monitoring as required in the monitoring plan
  • Review and assess the Compliance checklists completed by the business units
  • Review new products, projects and outsourcing arrangements to ensure regulatory compliance
  • Carry out regular call monitoring to identify risks of non-compliance and make recommendations to mitigate such risks
  • Review complaints and root cause analysis/remedial action MI to assess trends and identify risks of non-compliance

Communication

  • Advise business units regarding compliance matters to meet their business needs whilst at the same time complying with regulatory requirements
  • Produce reports for business unit, thematic and project reviews and present the findings to senior management
  • Provide guidance and support to the Compliance Officers in the absence of the Head of Compliance Monitoring.

Reports and Management Information

  • Support the Head of Compliance Monitoring with preparing quarterly reports to the Board and Compliance Committee
  • To review management information, investigate trends and seek explanation to unusual events proactively

Data Protection

  • Conduct monitoring activities involving the processing of personal data to ensure that they are carried out in accordance with policies and procedures, and ensure that the processing of data meets the requirements of the DPA
  • Support the Data Protection Officer in implementing and maintaining relevant Policies and associated processes
  • Investigate Data Protection related complaints and review associated processes to ensure that procedures and systems and controls are adequate

Compliance Approval

  • To advise and approve scripts
  • To advise and approve advertising and marketing materials
  • Review policies, processes and procedures regarding regulatory content providing guidance to relevant owners
  • To provide compliance advice as required in the compliance plan

Training and Competence

  • Reviewing and approving the schedule and content of Compliance training eg Conduct Risk and DPA

Send your CV to (see below) or call me

Start date
ASAP
Duration
3 months
From
GCS
Published at
19.09.2015
Project ID:
987930
Contract type
Freelance
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