J2859 - Our client is seeking a Compliance Officer, Regulatory to ensure the company complies with all applicable regulation, industry standards and best practice, code of conduct, local and applicable group policies and procedures.
Salary: Excellent salary, bonus and benefits. Location: UK, Gtr London / Surrey (Hybrid).
Support the team to embed a strong compliance awareness and culture across the UK business.
Keep abreast of regulatory changes, assessing and summarising Financial Conduct Authority (FCA) (and other relevant regulator) papers for the Compliance Forum and wider business.
Provide advice and coordinate projects that relate to new regulatory rules.
Track regulatory changes and their implementation on a central spreadsheet and provide progress updates to senior management.
Write and update internal compliance policies and procedures and take full responsibility for these areas as allocated by the Head of Compliance.
Review and approve other departmental policies where relevant, e.g., Complaints Handling Policy, Vulnerable Customers Policy.
Maintain an introducer spreadsheet ensuring all introducers have relevant FCA permissions for regulated activities.
Support HR in relation to Culture and Conduct / Senior Managers and Certification Regime rules and requirements, including support of training initiatives.
Attend departmental team meetings, discussing and raising awareness of compliance topics such as Treating Customers Fairly (TCF).
Monitor compliance with the FCA’s principle of TCF by reviewing customer feedback through returned customer surveys. Investigate any negative feedback and collate quarterly reports for the board.
Deliver compliance induction training to UK new joiners.
Attend quarterly Business Continuity Management (BCM) committee meetings regionally and locally and assist with BCM project work as required.
Carry out quarterly (internal audit) ‘Permanent Supervision’ controls/checks.
Oversee the delegation of work, career development and management of Regulatory Compliance Officer(s).
Compliance / Regulatory experience ideal.
Asset Finance / Leasing experience advantageous.
Excellent verbal and written communication skills.
Excellent interpersonal skills.
Methodical and has attention to detail.
Good time management and organisational skills.
Focused on providing excellent service to internal customers.
Ability to work under pressure and use own initiative.
Ability to identify and put forward new ideas for improvements.
A strong team player.
We strongly favour applicants with proven, relevant experience in Financial Services; particularly in Asset Finance and Leasing.
Applicants will only be considered with relevant in-country experience.