Description
Senior Compliance Specialist - Acquisition & Innovation, Conduct Risk
Contract. 6 months + Chester. £500 - £575 per day
Our leading financial services client has an urgent requirement for a Compliance Specialist to assist the Compliance Officer team in activities to contribute to the independent compliance oversight of Front Line Unit and Control Function performance and any related third party/vendor relationships in alignment with the Compliance Risk Management Programme and the Global Compliance Enterprise Policy.
Key accountabilites
- Create and maintain a regulatory inventory.
- Determine applicable regulatory requirements related to front line unit and control function activities.
- Update relevant policies to ensure they reflect regulatory requirements for Front Line Unit/Control Function.
- Contribute to Compliance Risk Assessments.
- Contribute to monitoring and testing coverage plans and related metrics.
- Monitor and test the effectiveness of Front Line Unit/Control Function. compliance risk controls.
- Identify, aggregate, report and escalate compliance risks, issues and control enhancements for Front Line Unit/Control Function.
- Assist in the execution of governance and management routines.
- Identify compliance training needs and inspect Front Line Unit/Control Function and third party participation for Front Line Unit/Control Function.
- Assist with preparations for regulatory exams and audits for Front Line Unit/Control Function.
- Inspect that commitments made regarding actions in response to Matters Requiring Attention ("MRAs") and other actions are completed for Front Line Unit/Control Function.
- Escalate regulatory relations concerns to Compliance Manager or Executive.
- Participate in periodic reviews across Global Compliance and drive the publication of findings to promote consistent and effective execution of the Global Compliance Enterprise Policy and Compliance Risk Management Programme Programme.
Key skills and experience
- Conduct Risk
- Financial Services Compliance
- Wider Risk Management and working in a regulated environment
- Compliance 2nd line monitoring, oversight & reporting (inc call listening)
- financial Services Laws, Rules and Regulations, inc CONC
- Financial Promotions Compliance & risks in all mediums, including digital
- Customer Acquisition Compliance & Risks in multiple mediums (eg, online, face to face, OBTM, IBTM, aggregators/PCWs)
- Credit Broking
- Giving compliance advice on small and large projects
- Appointed Representatives
- History of working well under pressure by managing multiple and complex key projects/priorities Understanding of Compliance, Risk Management and working in a controlled environment.
If you have the relevant skills and experience please apply now for more information.
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