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Senior Compliance Officer


£65000.00 - £75000.00 per annum

Senior Compliance Officer


An exciting opportunity has arisen in a rapidly growing Pensions Consultancy based in London for an experienced Compliance professional to join the team.


* Reviewing compliance policies, procedures and systems and controls on a regular basis to ensure they remain up-to-date and effective and comply with regulatory requirements
* Assist with the developing, implementing and day-to-day monitoring of a risk-based compliance programme, identifying, assessing and reporting all material compliance risks
* Review/approve marketing materials, promotional material, communications, modellers and websites to ensure compliance with regulatory requirements
* Maintain an understanding of relevant regulatory requirements to provide advise and guidance to the Head of Compliance in the development and implementation of compliant policies and procedures
* Assist with the compliance risk assessment process to ensure that compliance risks are appropriately identified and assessed
* Provide pragmatic advice to business areas regarding AML requirements
* Work with the Compliance Officer to ensure AML due diligence checks are undertaken and followed up as required

Experience/Knowledge Required:

* In depth, up to date knowledge of FCA rules and regulatory requirements
* Experience working within a pensions consultancy

Please quote (43198) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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