Our client is looking for someone experienced in Financial Service Compliance. You would be joining a fabulous existing team and work with the Customer Operations and Compliance Manager in the day to day running of the compliance function within the business.
The main purpose of your role will be to ensure the business complies with its outside regulatory requirements and its own internal policies and procedures. You will ensure total compliance with Company standards and procedures, including data protection/GDPR, partner due diligence and complaints.
Whilst your role will be primarily compliance focused, you will also be required to support the Operations Team in handling customer enquiries. This will be based on business demands and needs and as such, you must be able to effectively prioritise your workload and multi-task between your Compliance items and the Customer and Operational Mailboxes to assist where required throughout your working day.
The idea person will have experience within the financial services industry and the ability to juggle a number of projects at once whilst keeping the customer happy at all times. A strong organiser who can work under pressure with good communication skills.
Typical duties will involve:
* Delivering training to other departments including induction training to new starters.
* Keeping up to date with, and understand relevant laws and regulations and prepare training materials for staff members to keep them updated
* Monitor the company’s compliance with laws, regulations, and internal policies.
* Investigate any irregularities and concerns of non-compliance issues and ensure that your findings are recorded and followed up with the Head of Customer so that issues can be rectified.
* Report back to Customer Service Manager on current risk and compliance performance and assist with preparing Board papers for monthly submission.
* Be prepared to highlight or escalate areas of concern.
* Contribute to and help maintain robust and effective compliance controls within the business.
* Review marketing materials and websites to ensure compliance with regulatory requirements.
* Work with colleagues in conducting internal audits.
* Attend meetings and represent the compliance function within the business.
* Assist in the set up and onboarding of due diligence items for new partnerships/affiliates by preparing and chasing outstanding paperwork and uploading into company systems.
* Perform various general administrative duties
The company offer first class benefits, training, and qualifications.