Reporting to the Director of Compliance & Risk, duties will include:
• Deputise for the Director when required
• Maintain a thorough knowledge of the regulatory rules that affect the business including Anti Bribery & Corruption, DPA, Ethics & general Governance Requirements
• Assist the Data Protection Officer when required
• Provide advice and assistance on application of rules and policies to specific transactions and general business activities based on a thorough understanding of business strategies and products.
• Partner with all business and support areas to write supervisory procedures and relevant compliance policies and procedures.
• Ensure advice is in accordance with regulatory requirements and all policies & procedures are followed.
• Remain up to date with all regulatory changes and provide effective and concise communication of key regulatory changes to the business and wider teams.
• Review any new business initiatives for applicability with regulatory requirements and provide advice to all business areas on achieving compliance.
• Partner with other control functions such as Audit, Operations, Legal, I.T Security, etc. when matters of common or collateral concern arise.
• Be the initial point of contact for all regulatory reviews and/or requests for information.
• Represent and participate in business projects, practice groups and initiatives as may be required.
The successful candidate will be of graduate calibre and must have gained significant compliance experience. Whilst not a financial services firm, our client is looking for exposure to the complexities of Financial Services Compliance (not AML), whether gained in an in-house Compliance role, a consultancy or the FCA.
This is a fantastic opportunity to join one of the UKs most exciting and well backed start-ups which was set-up to make a tangible difference. Working in modern offices the staff all enjoy added benefits of free breakfast, yoga, healthy snacks, social gatherings/events as well as break out rooms with table tennis and videogame competitions.
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.