Compliance & Regulatory Officer - Epsom, United Kingdom - Lloyd Recruitment Services Ltd

Lloyd Recruitment Services Ltd
Lloyd Recruitment Services Ltd
Verified Company
Epsom, United Kingdom

1 month ago

Tom O´Connor

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Tom O´Connor

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Description

Compliance & Regulatory Officer

Pension - up to 15% company contribution options Bonus based on company performance
Life Assurance Family Private Medical
25 days hols + Bank Hols On-site Parking and subsidised Gym, Restaurant, Sports and Social Club**Our client is looking for an experienced Compliance Officer with regulatory experience, to join their friendly team.


Working for a recognised brand name, you will be responsible for administering regulatory compliance across the company, whilst also ensuring compliance with existing regulations, and incorporation of new regulations into the company's policies and proceduresas well as culture.


The Individual:


  • Experience working in Compliance and Regulations
  • Exposure to core compliance requirements e.g. (FCA, DPA, AML, CTF)
  • Familiarity with Conduct Risk management and conducting compliance monitoring activities

Duties:


  • Monitor regulations to ensure changes are understood and raised with the business at an appropriate level.
  • Support the Compliance Manager in the introduction of new regulations: understanding, communicating, planning changes, implementing.
  • Proactively ensure ongoing compliance with regulations on a departmental and company level, this may include, Risk Assessment, monitoring and Gap analysis.
  • Manage compliance training content and input into delivery of training from the Learning and Development team.
  • Administer and manage Suspicious Activity Reporting to the National Crime Agency.
  • Completion of internal and external compliance returns, including RMAR and regional reporting.
  • Maintain and update the Company's internal policies, procedures, compliance registers and Compliance Arrangements Summary.
  • Engage and communicate with the FCA as and when required.
  • Assist in further embedding a Conduct Risk based compliance culture within the business.
  • Provide advice to customerfacing departments, including; escalated customer complaints, arrears and repositions, fraud, and general regulatory compliance queries.
  • Advise as to the compliance considerations relating to new business ventures, projects, and product development.
  • Any other appropriate duties as required by line manager.
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