Senior Compliance Officer
- Employer
- Hays
- Location
- Basingstoke
- Salary
- £40000.00 - £45000.00 per annum
- Closing date
- 30 May 2019
- Reference
- 3583494
View more
- Employer Sector
- Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- 0-25% Travel
- Job Type
- Compliance
Job Details
Your new company
A well known financial services organisation based in the Basingstoke area
Your new role
The Compliance department's main responsibilities are to ensure compliance with regulatory requirements compliance monitoring activities, in addition to remaining compliant with the various Group and Corporate Policies, and to investigate, report and monitor regulatory breaches.
- Monitoring of regulations and industry publications, and provide updates on forthcoming changes to Senior Management. Additionally update internal processes and policies as necessary to comply with the changes.
- Ensuring business compliance with regulatory rules & guidelines in line with the business model by the development and maintenance of the Compliance Monitoring Programme, and ensuring regular compliance monitoring controls are performed
- Coordinating the implementation of the required systems relating to prevention, monitoring, measurement and the control of Compliance in the entity according to the policies set forth by group compliance.
- Recording and investigate any regulatory breaches, and implement any changes to avoid reoccurrence
- Reviewing and approve financial promotions in line with FCA (Financial Conduct Authority) requirements
- Providing advice on compliance matters to all staff members
- Ensuring conflicts of interests are prevented, and contribute to resolve them
- Ensuring customer protection & data protection requirements are met by the business
- Ensuring business complies with sanctions and embargoes requirements
What you'll need to succeed
- Experience in Regulatory Compliance (FCA and associated Consumer Credit regulations) is required, ideally within a Financial Services environment.
- Ability to identify Regulatory Compliance requirements as appropriate to the business model based on proportionality and risk based approach
- Ability to communicate technical requirements clearly to the management
- Ability to perform effective compliance monitoring
- An understanding of the requirements to prevent Financial Crime
- Relevant qualification in Regulatory Compliance would be an advantage
- Understanding and experience in Data Protection would be an advantage
- Excellent communication and interpersonal skills with an emphasis on strong written and oral communication
- Strong attention to detail
- Able to work independently towards departmental deliverables, and manage conflicting priorities
What you'll get in return
On offer an attractive salary and benefits package including bonus and generous holiday rewards.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk
Company
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- Location
-
London
GB
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