Compliance Specialist providing high-quality compliance advice to the business while supporting various departments. Conducting audits and assisting with regulatory requirements to uphold corporate governance policies.
Responsibilities
Conducting thematic compliance audits and monitoring activities by reporting, compiling proposed actions and tracking in accordance with the compliance annual plan.
Assisting with supplier due diligence by assessing and evaluating supplier responses and associated risks
Compiling and preparing FCA reporting requirements and applications for approval / submission
Compiling training monitoring reporting
Reviewing financial promotions (marketing and advertising)
Developing compliance reporting and controls/mitigations
Assisting with development of annual regulatory board report
Supporting maintenance of the ISO 9001 Quality Management Standard
Assisting with ESG policy and compliance monitoring
Requirements
Previous exposure to compliance or audit roles in a regulated business. Sound understanding of laws, rules and guidance.
Understanding of risk management principles and processes.
Experience with compliance monitoring activities and thematic reviews.
Strong attention to detail, with the ability to ask questions and seek clarification when needed.
Impeccable ethics combined with the ability to solve problems.
Excellent interpersonal and communication skills, both written and verbal, with the ability to build relationships at all levels.
Proactive, solutions-oriented approach with the ability to manage a varied workload independently.
Strong administrative skills and proficiency in Microsoft Office (Word, Excel, PowerPoint) and internal systems.
Effective time management skills and the ability to work under pressure to meet deadlines.
A positive, can-do attitude, demonstrating willingness to take on new challenges and adapt to changing priorities.
Prior experience of a regulated compliance role with a solid understanding of FCA regulation including Consumer Duty.
Benefits
25 days holiday + 8 days bank holiday
Great pension scheme starting at employee (EE) contribution of 4% with an employer (ER) contribution of 11%. This can flex up to 6% EE contribution and 15% ER contribution
Hybrid working policy 2 days from home each week should you want to
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