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Compliance Officer

  • Location:

    Bracknell

  • Sector:

    Risk & Compliance

  • Job type:

    Permanent

  • Salary:

    Up to £50000 per annum

  • Contact:

    Oliver Hemlin

  • Contact email:

    Oliver.Hemlin@weareoliverjames.com

  • Job ref:

    JOB-082021-148667_1629119201

  • Published:

    ongeveer een maand geleden

  • Expiry date:

    2021-09-15

Purpose of Role:

The primary purpose of this role is to support the Head of Compliance in the delivery of an up to date and value-added Compliance advisory service to the business and work with business areas to encourage a strong customer centric risk-based culture.

The role will support the Company's objective to provide fair customer outcomes, helping to ensure that the company and its employees operate within its regulatory requirements.

Key Accountabilities:

  • Provide technical compliance advisory services to the business
  • Monitor and evaluate regulatory, legislative and industry-wide developments (horizon scanning) and their impact on the business
  • Produce briefing papers/business communications on regulatory, legislative and industry-wide developments addressing any actual or potential business impact
  • Develop and produce regular compliance reports and management information that will be used by the business to monitor its performance against its Conduct and Compliance risk appetite.
  • Provide Compliance input as required to business projects and support business units through the provision of appropriate and timely regulatory advice
  • Maintain the Company regulatory roadmap
  • Maintain Compliance owned Policies and Procedures ensuring these are reviewed and approved within required timescales
  • Manage the review of Corporate Policies to ensure these are reviewed by the business within required timescales. Provide Compliance review and sign off of Company policies as and when required
  • Manage the regulatory communications log ensuring key compliance documents are recorded and stored in the compliance folders
  • Effectively manage regulatory reporting as and when required
  • Act as secretary to the Risk and Compliance Committee
  • Ensure Conduct and Compliance computer-based training modules are reviewed annually
  • Undertake ad-hoc tasks for, and on behalf of / deputise for, the Head of Compliance when required

Competencies required:

  • A good communicator who can understand and convey information clearly in verbal and written forms
  • Ability to provide challenge in a constructive and positive manner when managing and addressing stakeholders
  • Ability to manage multiple tasks concurrently, prioritise appropriately
  • Have a strong team working ethic
  • Have a proactive, 'can-do', outlook and be able to work under own initiative

Skills/Qualifications required:

  • Minimum of 2 years' experience of working in a compliance role within an FCA regulated mortgage business
  • Understanding of the UK regulatory regime and rules applicable to PRIN, SYSC, MCOB, GDPR, DISP (especially within specialist mortgage market)
  • Have a broad understanding of the key concepts of risk management

Our people embrace our values:

Fair - We are open minded and make unbiased, consistent decisions.

Accountable - We take ownership of situations so that our customers experience efficiency.

Customer first - We understand what our customers want and build strong relationships.

Transparent - We communicate clearly and concisely, ensuring that we are open with information.

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