Compliance Officer

£60000 - £65000 per annum
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PLEASE CONTACT

KANE PELGROM

Compliance Officer


REMUNERATION: Competitive + Benefits


ROLE OVERVIEW
UK Compliance has overall responsibility for all regulatory matters within the UK, and provides compliance advice and support to the Branch Network and directly to central functions and other departments operating within the UK.
Within UK Compliance, Regulatory Compliance is responsible for developing and maintaining a compliance framework which complies with legislative and regulatory best practice for all UK departments and the Branch Network. This role sits within the Monitoring and Testing team reporting to the Compliance Manger within Regulatory Compliance team and is required to have detailed knowledge of regulatory expectations, the ability to interpret and articulate them clearly in written form, undertake monitoring and testing activities as defined by the Compliance Monitoring Plan (CMP) throughout the year and the ability to draft guidance, policies and procedures.


ESSENTIAL DUTIES AND RESPONSIBILITIES:

  • Carrying out robust Monitoring and Testing within a number of specific topics such as Financial Promotions, Social Media, SMCR, Conflicts of Interest, Personal Account Dealing, Conduct Rules, Complaints and Joiners and Leavers process
  • Drafting high quality written memorandums to capture monitoring and testing work undertaken as per the UKQ CMP
  • Liaising with the business in ensuring recommendations made following Monitoring and Testing memorandums’ are tracked to completion
  • Drafting education memos for a variety of business areas
  • Assistance with the development of a CMP programme for the following year
  • Assistance with drafting policies and procedures
  • Knowledge sharing with peers within the team who provide support with advisory work
  • Assisting with any incoming enquiries
  • Advising, recording and reporting Incidents which require compliance assistance
  • Preparing external regulatory submission for regulators
  • Assistance with producing and developing MI including drafting internal reports summarising findings and recommendations where required.
  • Designing and/or delivering regulatory training to first line business areas and peers
  • Developing and maintaining knowledge of relevant legislation, regulations and guidance issued by the UK, EU and other regulatory bodies


Development Potential:
Support and guidance will be provided though it is expected that the successful applicant will be sufficiently experienced to be largely self-sufficient very quickly.
This role will offer the successful applicant the opportunity to broaden their appreciation of how the Bank is run and operated.


SKILLS, EXPERIENCE AND QUALIFICATIONS:

  • Deep knowledge and experience of two or more of the following: Financial Promotions, Social Media, SMCR, Conflicts of Interest, Personal Account Dealing, Conduct Rules, Complaints and Joiners and Leavers process
  • The candidate must be analytical, have good attention to detail, and have a methodical approach to tasks
  • Required IT skills are MS Office applications, including Word, Excel and Powerpoint.
  • Excellent interpersonal/communication skills in both written and spoken English
  • act with integrity
  • act with due skill, care and diligence
  • be open and co-operative with the FCA, PRA and other regulators
  • pay due regard to the interests of customers and treat them fairly
  • observe proper standards of market conduct.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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