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Compliance Auditor

Anthony Alexandra
Job LocationOrpington
EducationNot Mentioned
Salary30,000 - 35,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A financial services organisation offering savings, investment, and protection products are seeking a Compliance Auditor to join their business.SUMMARY OF THE ROLETo provide technical and monitoring support to the Compliance Department, to ensure Financial complies with all relevant regulations. Contribute to the management of conduct risk by recommending sound systems and controls, including culture, that ensuresthe fair treatment of customers.Primarily a technical role within the Compliance Department also giving monitoring support. The successful candidate should be able to demonstrate a current knowledge of and analyse developments in legal, regulatory, and technical matters that affect Financialbusiness.MAIN DUTIES

  • Monitoring and analysis of legal, regulatory, and technical developments so that the business can be provided with a high-level overview of relevant key ongoing and expected UK regulatory developments
  • Maintain financial crime records and follow up with investigation where required
  • Assistance with GDPR compliance, including Subject Access Requests
  • Part of the team that oversees regulatory returns
  • Keep the regulatory and data privacy breach logs and provide analysis of results for the quarterly Compliance Report to the Audit and Compliance Committee
  • Approve customer communications including financial promotions, documents, and training material including digital presence
KNOWLEDGE, SKILLS AND EXPERIENCEThe successful candidate will have:
  • 2-3 years of financial services experience ideally in Compliance
  • Basic working knowledge of Life Assurance and Pension products
  • Understanding of Conduct Risk and Treating Customers Fairly outcomes
  • Good communication skills both written and verbal
  • Motivation and ability to develop their technical knowledge
EDUCATION
  • A level minimum
  • Professional qualifications desirable
As well as an opportunity to work with talented people they offer a competitive salary, life cover, pension scheme into which the company will contribute up to 10% of total earnings and a performance based discretionary bonus scheme.

Keyskills :
TCFpensionscomplianceinvestmentsFCA

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