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Our client is looking for a Compliance Executive to join their successful financial services business. Reporting to the Compliance Manager, you will help support in ensuring compliance with all Legal and Regulatory obligations and requirements applicable to the business.
Key Responsibilities:
- To be responsible for elements and assist in the provision of compliance, regulatory and risk services.
- To have an understanding of the strategic and regulatory issues facing the business.
- To support the Chief Risk Officer in the development, promotion and implementation of the company’s risk management framework, while ensuring the continued effectiveness of the company’s business activities.
- To deliver the requirements of your role in line with the company's culture and values and the principles outlined in the company’s Consumer Duty policy (as appropriate to your role).
- To support the Data Protection Officer in ensuring all obligations and requirements are met under GDPR.
- To assist and take ownership of allocated elements in the production of management and board committee reporting where required by the risk and compliance function.
- To assist with capturing and processing management information for risk reporting.
- To assist with ensuring any risks which are identified are appropriately captured in the Risk database and monitored effectively.
Requirements:
- Experience of compliance, risk and regulatory issues in Financial Services.
- Experience of complaints handling.
