Role: Compliance Officer: FCA Conduct, Fin Crime, Marketing, Consumer Duty
Location: London/remote
Salary: £60,000 plus bonus, benefits, pension
What you need to know:
Market leading Financial Services provider are growing their highly established compliance area and are seeking to attract a career driven, technically astute and enthusiastic compliance professional to join the team.
The role would report to a Senior Compliance Officer
Key responsibilities
Deliver the assigned tasks set out in the annual Compliance Plan.
Support key business units, distribution partners and internal projects with the timely provision of regulatory guidance, challenging control weaknesses, monitoring control improvements arising and ensuring the fair treatment of customers is integral to the guidance provided. In particular, support the Group Protection division with expert compliance advice and support.
Ensure Compliance guidance requests are dealt with appropriately and in a timely manner.
Provide review and approval of financial promotions submitted to Compliance to ensure they meet regulatory requirements.
Maintain up-to-date knowledge of regulatory topics, departmental procedures, and internal system changes.
What we’re looking for:
Knowledge of legal and/or regulatory environment, in particular FCA’s conduct requirements, including financial promotions, complaints, and/or financial crime is essential
Knowledge of the UK Group Protection market and group risk products is essential
Financial service or regulatory qualifications would be desirable
Good amount of experience working in financial services regulatory or compliance role or similar front line role is essential
Able to build good working relationships with all levels of the business through effective stakeholder management, whilst also having the ability to challenge and influence
Good analytical skills in effectively identifying problems and making sound business decisions and recommendations.
Must be able to work independently, with strong investigative and problem solving skills, and use own initiative to follow through review findings and remedial actions,
Good oral, written and interpersonal communication skills, combined with a logical approach and high attention to detail. Ability to convey information in a clear, structured and understandable manner,
Consultative, approachable and persistent. Good at probing facts and challenging assumptions,
A demonstrable ’can-do’ attitude with the ability to pro-actively manage workload and prioritise tasks to ensure service standards are met,
Demonstrate personal commitment, acting with integrity displaying an open and trustworthy attitude.
ARE YOU SEEKING A CAREER MOVE WITHIN COMPLIANCE?
Apply without delay to Investigo for more information.