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Conduct Regulation Officer – Financial Services Compliance or Conduct Risk Experience Required

£30K to 37K + Benefits + Bonus | Kent
Ref: 3608R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a leading Financial Services organisation, are looking to recruit a Conduct Regulation Officer. Duties include the following:

• Contribute to the Group Compliance Function’s identification, assessment, communication, tracking and reporting of conduct regulatory change matters facing the business.
• Assist with providing members of the Group with requisite assistance for specialist technical conduct regulatory interpretation and the on-going support and advice on wider FCA-related regulatory themes.
• Contribute to the development of compliance and conduct risk frameworks, policies and procedures and ensuring that consistent standards are applied across the Group through effective communication and advice.
• Support the Compliance Function in maintaining the Group’s Conduct Risk Register through proactive engagement with key stakeholders.
• Contribute to the preparation of compliance and conduct risk management information reports for the Group’s Management and Board committees.
• Provide effective Compliance functional reporting and ensure matters of concern are escalated to the Group Head of Compliance and Conduct Risk, or other senior management as appropriate.
• Support the business in relation to investigations into conduct regulatory related incidents/breaches and providing risk-based advice and guidance on identifying appropriate remedial actions.

You should have a minimum of one years’ experience in a Compliance or Conduct Risk role within financial services. Familiarity with retail banking products and services is desirable.

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 dcrook@compliancerecruitment.com

 

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