Senior Compliance Specialist - Financial Promotions

Cheshire  ‐ Onsite
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Description

Senior Compliance Specialist - Financial Promotions

Contract. Chester. 6 months+. £500 - £575 Per Day

Our leading global financial services client has an urgent requirement for a Compliance Specialist to assist the Compliance Officer team. The role holder will be required to apply business acumen to promote a culture of compliance and the identification, escalation and timely mitigation of compliance risks by assisting Front Line Unit or Control Functions Compliance teams.

Key accountabilites

  • Create and maintain a regulatory inventory.
  • Determine applicable regulatory requirements related to Front Line Unit or 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 CRM Programme.

Essential Experience and Technical Qualifications

  • Understanding of Compliance, Risk Management and working in a controlled environment.
  • Experience in demonstrating competencies and behaviours as detailed above.
  • Extensive knowledge of financial services laws, rules and regulations.
  • History of working well under pressure by managing multiple and complex key projects/priorities.
  • Strong understanding of digital media in customer acquisition and financial promotions

If you have the relevant skills and experience required please apply now for more information.

Parity - Source, Develop, Transform

Parity Professionals Ltd acts in the capacity of an Employment Business when providing contract work finding services.

Start date
n.a
Duration
6 months +
(extension possible)
From
Parity Professionals
Published at
07.07.2016
Project ID:
1162667
Contract type
Freelance
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