Our client is a growing Retail Financial Services firm that has a requirement for 2 Compliance professionals to join their team.
Reporting into the Compliance Manager, your responsibilities will include:
- Assisting with the development and implementation of an annual risk-based Compliance Monitoring and Assurance Plan to manage Compliance Risks.
- Assisting with the performance of the Compliance Monitoring and Assurance reviews in line with the Compliance Monitoring & Assurance Plan.
- Supporting the completion of Fitness & Probity Processes.
- Supporting the provision of independent oversight and challenge of the identification, assessment and management of Compliance Risks and Associated Controls.
- Assist with the monitoring, tracking and validating the progress on rectification of regulatory breaches and other Compliance weaknesses identified.
- Assisting with the compilation of compliance reports including relevant Management Information and Key Risk Indicators to Senior Management, Compliance governance fora, the Audit and Risk Committee and the Board.
- Assist with the maintenance and archive of required Team documentation on designated Compliance share drive.
- Supporting the Compliance Manager in attendance at Compliance workshops.
- Raise and report regulatory breaches to Compliance Monitoring & Reporting Manager as required.
The ideal candidate will likely have:
- 2 years previous compliance experience with a focus on AML, CFT, Consumer protection and fitness& Probity legislation
- Can do attitude
The opportunity to be part of a rapidly growing team whilst being well rewarded