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Compliance Officer

Ultimate Banking Ltd
Job LocationMansfield
EducationNot Mentioned
Salary£30,000 - £35,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

Our client, a well-respected and long-established financial services provider based in Nottinghamshire have an excellent opportunity for an experienced Compliance professional to support the Compliance Manager and the Risk and Compliance Executive in ensuring statutory, regulatory and relevant Code compliance for designated functions.Main responsibilities will include:

  • To assist with / carry out the development of plans, policies, procedures and systems to ensure the department achieves its objectives.
  • To carry out, evidence and report on 2nd line Compliance monitoring activity and Monitoring reviews, to ensure compliance with regulatory, statutory and procedural requirements.
  • To interpret regulation / legislation in order to provide advice, support and guidance (as appropriate.
  • To ensure that regulatory requirements in respect of Anti Money Laundering (AML) and Terrorist Financing are complied with.
  • To carry out / assist in the recording, monitoring and reporting of all activities associated with Financial Crime.
  • To carry out / assist in the recording, monitoring and reporting of all activities associated with Data Protection.
  • To check financial promotions, marketing and non-marketing literature to ensure compliance with regulatory and statutory requirements.
  • To check mortgage products, Illustrations and APRCs, to ensure compliance with regulatory and statutory.
  • To ensure documentation relating to departmental systems, policies, processes and procedures is always up to date.
  • To prepare Management Information (MI), internal and external reports as required.
    • The successful candidate will have: -
  • Previous Compliance experience within financial services
  • Knowledge of FCA regulatory rules and guidance, including MCOBS and BCOBS
  • Financial Crime knowledge
  • Ability to interpret and implement regulation / legislation
  • Ability to work collaboratively with all areas of the business and liaise with staff at all levels across the business

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