Oversight Associate - Cardiff, United Kingdom - CPS Group

CPS Group
CPS Group
Verified Company
Cardiff, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
// Compliance Oversight Associate // £23,500 // Cardiff/ Newport // Hybrid //

This is a great opportunity to join a well established financial services business in their 3 person Compliance Oversight Team, supporting Oversight Officers who will lead on reviews, with all reporting directly to the Chief Compliance Officer.


Key responsibilities:
Supporting the delivery of Oversight/Monitoring reviews to provide assurance that the business is operating in alignment with FCA regulatory expectations and delivering good customer outcomes
Supporting the business in their understanding of Risk, Compliance and customer obligations
Supporting the delivery of the Risk & Compliance Annual Oversight Plan by helping to deliver 2nd Line thematic and Dip reviews, and reporting to the Societies Committee
Collation of data to enable the production of MI for reporting into key governance committees and Society forums
Support the wider Second Line function, including Enterprise Risk and Financial Crime as required in a one team manner.
Support the wider Risk & Compliance Department by helping embed a compliance, conduct, risk and financial crime aware culture into the Society by example

Experience requirements:
Core understanding of FCA regulatory environment
Financial services experience
An analytical and inquisitive mindset
Proficient in all MS packages
Good written and verbal communication skills
Strong organisational skills
Previous experience in a similar audit/compliance/QA function
Strong understanding of FCA regulation in a retail environment
Experience of working in a compliance function in retail environment
// Compliance Oversight Associate // £23,500 // Cardiff/ Newport // Hybrid //
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