Up to £25,000pa + excellent benefits
Bristol (commutable from Gloucester, Cheltenham, Swindon, Wiltshire, Newport, Bath, Somerset)
Ambridge Harris is currently supporting their Bristol based client in the recruitment of a Compliance Advisor.
The Compliance Advisor assists the Compliance Officer in the delivery of a pro-active compliance agenda against a backdrop of ever changing legislation and regulatory requirements. In doing so, the Compliance Advisor will ensure the Compliance Officer, CFO and other key stakeholders are kept informed of relevant information to their functions and business areas. Moreover, the Compliance Advisor will conduct a variety of internal audits and ensure all relating schedules are adhered to.
- Periodic review of the Company's compliance manual & all associated documentation, identifying & implementing updates/amendments as necessary. Also maintaining a Compliance library to assist the effective completion of corporate tenders etc
- Conduct a variety of internal audits as directed by the Compliance Officer providing detailed reports in all instances. Assist with external audits as required. Monitor and report on progress against action points / remedial action arising from audits as necessary.
- Identify remedial L&D needs arising from internal audit and compliance MI. Assist with the delivery of and monitoring of L&D initiatives in respect of compliance & regulatory issues as identified by the Compliance Officer or other relevant parties.
- Produce internal audit reports for the Compliance Officer and other stakeholders inclusive of value of risk and appropriate recommendations for risk reduction and continuous improvement. Gather relevant data and information (e.g. KPI data) to assist the Compliance Officer to prepare for compliance themed meetings and reports.
- Work in a semi-autonomous manner to plan & prioritise own work to meet the requirements of the Compliance Officer
- Graduate in a relevant subject.Experience within a financial services organisation with ideally some experience of a compliance related role.
- Experience of internal audit
- Knowledge of FCA principles
- Professional qualification or working towards (e.g. Institute of Company Secretaries, CIMA, CII or ILEX)
Due to the high volume of applications we receive it is not always possible to respond to unsuccessful applicants. Therefore if we have not responded to your application within five days please note that on this occasion your application has not been successful
Ambridge Harris is committed to equal opportunity and diversity. Ambridge Harris will not discriminate on unlawful grounds.