Compliance Specialist

Square 4 Partners; Bracknell; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading compliance and risk management firm in Bracknell is seeking a professional to provide second line defense in their Risk and Compliance Department. Responsibilities include delivering high-quality compliance monitoring, producing management information for committees, and advising on regulatory issues. The ideal candidate possesses a working knowledge of the FCA regulatory framework and excellent communication skills. This position offers a hybrid working model with 3 days per week on-site.

Qualifications

• Working knowledge of the FCA regulatory framework is required.
• Effective communicator at all levels with excellent presentation skills.

Responsibilities

• Responsible for the delivery of high-quality risk-based Compliance monitoring activities.
• Deliver regular QA and Outcomes testing for compliance.
• Produce timely management information for Risk and Compliance Committee.
• Guide management on regulatory issues and compliance.
• Advise on financial crime framework development.
• Conduct Horizon scanning for regulatory announcements.
• Compile briefing notes on key regulatory updates.
• Maintain knowledge of the regulatory environment.

Skills

Abinitio

Apprentice

Dermatology

Cost Estimation

Data Networking

Liaison

Job description

Job Description

Working in the Risk and Compliance Department providing Second line of defense to the business and reporting into the Compliance and Risk Department Manager

Responsibilities will include Compliance Monitoring Compliance Advisory and Risk Management including providing senior management with timely accurate and focused information and reporting

Requires working knowledge of the FCA regulatory framework be an effective communicator at all levels with excellent presentation skills

Main Responsibilities

• Responsible for the delivery of high-quality risk-based Compliance monitoring activities across the business.
• Activities include regular 2nd line QA and Outcomes testing plus desk-based sample reviews to test both compliance with regulation/legislation to ensure the delivery of good customer outcomes are being achieved
• Production of timely management information for submission to monthly Risk and Compliance Committee
• Provide guidance to management and other departments on regulatory issues and compliance matters
• Advise on and help develop the financial crime framework to ensure it aligns with all legal and regulatory requirements
• Conduct Horizon scanning and for Senior Management to identify regulatory announcements and upcoming changes
• Compiling briefing notes covering key regulatory updates and announcements for senior management
• Maintaining a working knowledge of the regulatory environment to ensure proactive communication intervention and countermeasures are timely and effective

Location: Hybrid working of 3 days per week on client site in Bracknell

Required Experience

IC

Key Skills

• Abinitio
• Apprentice
• Dermatology
• Cost Estimation
• Data Networking
• Liaison

Employment Type : Full-Time

Experience: years

Vacancy: 1