A subsidiary of an FCA regulated debt recovery and insolvency group is currently seeking a standalone Compliance Officer to join their Worthing office. You will have experience in a debt management/consumer credit/insolvency environment and have FCA CONC rulebook knowledge.
The Compliance Officer will be responsible for providing, advice, guidance, management and leadership on compliance to the wider business as required with regulations, the spirit of regulations and the delivery of fair customer outcomes throughout the organization.
Key Accountabilities & Responsibilities
* Maintain a comprehensive understanding of the FCA's requirements and standards as they affect the company and provide advice and guidance to the business, to ensure regulatory requirements are met and fair customer outcomes are achieved * To identify, resolve and feedback any suspected breaches of rules to maximise business effectiveness * To help drive operational change when required as a result of regulatory changes or legislative changes * Write, maintain and communicate company regulatory policies to the business * Ensure that there is an effective compliance monitoring programme * Support with creating, maintaining and communicating the Compliance Plan * Provide support in delivering training to employees on compliance related affairs * Provide robust regulatory risk analysis where required by the business on new or amended customer communication and other documents as necessary * Collate information to be submitted to our regulators or insurers as appropriate * Support the Money Laundering Reporting Officer on Anti-Money Laundering processes
Please quote (43468) 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 www.alexanderlloyd.co.uk for any other roles which may be of interest.