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Regulatory Compliance Officer

Posted 4 January by Morgan McKinley Ended

Regulatory Compliance Officer (Northwich)

Permanent, £26k-£28k/annum

A multinational commercial bank is seeking to hire an adaptable and confident individual to take on the role of Regulatory Compliance Officer in their Northwich Office. You will be part of a high-performing and award winning team.

Why work in Compliance and Risk?

The Bank is seeking a Regulatory Compliance Officer who will be responsible for ensuring the Bank's systems and controls meet or exceed the required regulatory standards. The role will require an in-depth knowledge of the specialist area, which relates to a specific discipline - Regulatory Compliance. In addition, the job holder will need an understanding of the overall business activity and will support the Compliance Manager and Deputy MLRO to achieve the function's business and regulatory objectives.

About the role

The job holder will need to have a firm grasp and understanding of FCA Conduct of Business Sourcebook with the primary responsibility of ensuring that the Bank operates within a compliant and controlled risk environment.

  • Responsible for ensuring the Bank's systems and Controls meet or exceed required regulatory compliance standards.
  • Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm's FCA Approved Persons Registrations.
  • Providing assistance in preparation for External/Internal Audits/Client Visits. ? Organisation and maintenance of Compliance documentation.
  • Monitor and review regulatory changes from the PRA/FCA and other relevant regulators, perform initial gap analysis and help implement and changes where necessary.
  • Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams.
  • Produce reports to the senior management of the firm relating to the effectiveness of regulatory compliance as directed by the Risk and compliance Director.
  • Manage compliance/contingency/risk issues within own area of control and for the Bank.
  • Provide advice on regulatory issues on areas of responsibility to all areas of the Bank's business.
  • Monitor adherence to the firm's compliance with regulations as directed by the Risk and compliance Director.
  • Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance.

Person/Experience required:

Able to demonstrate knowledge in the core areas of regulatory compliance gained with a financial services organisation. ? Ability and confidence to work with senior members of staff.

  • Excellent communication skills both written (including report writing) and verbal
  • Strong planning and organising skills
  • Ability to persuade and influence
  • Team player
  • Adaptable

Morgan McKinley is acting as an Employment Agency in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

Reference: 34141304

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