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Job Specification

SENIOR COMPLIANCE ADVISORY ROLE – COBS & CASS KNOWLEDGE AND/OR EXPERIENCE OF STRUCTURED DEPOSITS REQUIRED

£45K - £50K + Bonus & Benefits (including relocation if required) | South Wales/Bristol Area
Ref: 3407R

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

 
 
Our Client, a leading financial services organisation, is looking to recruit a Compliance Advisory Executive to work alongside colleagues across the Group to provide on-going advice and guidance on regulatory requirements to the established teams.  Acting as the Compliance Subject Matter Expert, duties will include:
 
• Continually monitor and interpret legislation, regulations, rules and guidance, identifying potential changes and raising awareness of regulatory change via the Compliance Bulletin and regulatory alerts process
• Support the implementation of rules & guidance as appropriate, providing on-going technical regulatory advice to ensure a compliant environment for the business
• Complete business gap analysis for regulatory changes in order to demonstrate Group processes comply, and evidence the same to our clients
• Deliver and implement operational and regulatory projects across compliance and the business
• Encourage managers and employees to comply with regulations and standards and provide advice and guidance on what is required to comply, what constitutes good practice within a regulated environment, and how this is translated into operational activities
• Ensure TCF is embedded in all department processes through controlled sign off of company letters and manuals
 
You should have at least three years compliance experience together with detailed knowledge of COBS (including CASS) and/or good experience of Structured Deposits. 
 
For further information or a confidential no obligation discussion, please feel free to call David Crook on 0207 330 6963 or send your details to him at dcrook@compliancerecruitment.com

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