Our client is a leading financial services’ business who are currently recruiting for a Senior Compliance Advisory Executive. The role will be responsible for providing technical support and guidance to the business and project teams in relation to policies, procedures and training,
- Monitor regulatory fines and other market initiatives and complete business gap analysis to ensure business practices and processes, and its clients are not exposed to any weaknesses and are amended where required.
- Work alongside colleagues across the group to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices
- Help embed and promote a compliance and risk culture across the business.
- Assist the Compliance Advisory Manager in the training and development of the Compliance Advisory Team, providing support and feedback to the team and identifying compliance training needs
- Deputise for the Compliance Advisory Manager as required
- Ensure that focus on appropriate customer outcomes is embedded in all department processes through controlled sign off of company policies, procedures and letters.
- Oversight and controlled sign off of Compliance Advice
- Support operational and regulatory projects acting as compliance SME to ensure regulatory requirements are met and any risk to the business are mitigated
- Deliver and implement operational and regulatory projects across Risk and Compliance and the business
- Detailed knowledge of FCA, rules and guidance including: CASS, MIFID II, COBS, BCOPS, DISP
- Three years’ experience working in a financial services regulatory environment
- Ability to conduct analysis of regulatory requirements against client demands to ensure compliance
- Ability to review and interpret regulatory, industry and internal standards