Financial Services business, located in the West Midlands, are looking to hire a Compliance Officer to join their Compliance & Risk division. The location is easily commutable from all areas to include Birmingham, Wolverhampton, Walsall, West Brom, Dudley and Stourbridge.
Key responsibilities include:
- Work with departments to embed the Compliance Framework, updating policy statements, investigating MPPI complaints, creating reports for the Executive Compliance Committee and the Audit & Compliance Committee.
- Complete compliance tasks, including compliance monitoring and quality assurance reviews as allocated, managing and prioritising own workload to ensure that work is completed within the specified timeframe.
- Have an understanding of the regulatory framework in which the business operates.
- Able to review regulatory publications and assess the impact to the business and update various documents as required.
- Review and approve marketing literature, adverts and other marketing material, to ensure compliance with all associated regulations.
- Carrying out anti-money laundering and financial crime reviews and daily transaction monitoring. Work with the MLRO to investigate any internal suspicious activity reports and report to National Crime Agency.
- Operate within the General Data Protection Regulations, monitoring compliance with the regulations in relation to policies, procedures, the protection of personal data and staff training. Process Data Subject Access Requests.
- Have a clear understanding of Operational Resilience, what constitutes an incident and the appropriate action to take when an incident occurs.
- Able to complete work accurately, within the required timeframe to a high standard.
- Perform any other compliance duties as requested.
- Experience working in a compliance function.
- Have an open and approachable manner and the ability to communicate and work alongside all departments promoting a good compliance culture.
- Good written communications with attention to detail.
- Ideally hold a relevant qualification e.g. Compliance Diploma, Institute of Risk Management Certificate or Certificate in Mortgage Advice and Practice (Ce-Map)