Compliance Executive - Buckinghamshire, United Kingdom - Birchlake Recruitment Ltd

Birchlake Recruitment Ltd
Birchlake Recruitment Ltd
Verified Company
Buckinghamshire, United Kingdom

1 month ago

Tom O´Connor

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Tom O´Connor

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Description

Strong knowledge of FCA principles, rules, handbook, and non-handbook guidance, codes of practice, and any other requirements and standards of the FCA's regulatory system relevant to the business.


  • Works in a collaborative way in projects and other multidepartmental activities, providing advice to jointly achieve effective results.
  • Ability to carry out multiple tasks and prioritise challenging workloads to plan and deliver work effectively.
  • Able to work within policies and procedures to deliver allocated departmental objectives.
  • Excellent communication skills and an ability to engage with a range of stakeholders including members of the Senior Leadership team.
  • Strong analytical skills, which are applied to assist in drawing conclusions from complex data.
  • Engage with and understand commercial objectives and to assist the business to understand the conduct and compliance context to influence decision making in the interests of the business and its customers.

Primary Responsibilities:

  • Provide specialist regulatory and compliance advice and promote a compliance culture throughout the business, influencing stakeholders, including SMF holders and other senior managers, to deliver compliant products and services which produce good customeroutcomes.
  • Contribute to the management of regulatory risk by working with business areas to cultivate and maintain key relationships to enable the provision of proportionate and appropriate advice to support commercial strategy. This includes but is not limited togeneral query advice, reviewing and approving financial promotions and other customer communications, assessing regulatory breaches and incidents, and supporting key business projects.
  • Contribute to the design, establishment, and implementation of the Compliance Monitoring plan, to oversee the first line of defense controls in line with the regulatory risk cycle. Assist in updating and maintaining the company's conduct risk assessmentmatrix, taking into consideration existing and emerging regulatory risks and developments.
  • Conduct compliance monitoring reviews in line with the Compliance Monitoring Review framework including collaborating with stakeholders to gather information for analysis, testing, producing reports on the findings of monitoring activity, and developinga plan to mitigate identified risks.
  • Engage with business' Senior Leadership Team to discuss findings, recommendations, and where needed actions that drive improvement.
  • Identify and describe operational impacts by reviewing and interpreting consultation papers, policy statements, and other FCA publications.
  • Assist in the Business Compliance contribution to appropriate gap analysis and any other work necessary to effective business change.
For more information about the Compliance Executive role, please get in touch or submit your CV for consideration.
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