Time Appointments are working on behalf of a prestigious financial services company based in Ipswich, who are currently looking to appoint a Compliance Executive to join their growing team! As a Compliance Executive, you will be responsible for delivering expert compliance advice and monitoring services throughout the firm, helping maintain compliance with existing and emerging regulatory requirements and standards, with a strong focus on Data Protection.
This is a fantastic opportunity to join one of the employers of choice in the area who truly value their staff, offer exceptional benefits, and continuously invest in both professional and personal development for their employees.
Key Duties & Responsibilities:
- Assess and help to prepare responses to regulatory consultation papers where appropriate
- Contribute to the production of regulatory update newsletters for the business
- Assist with change management projects in response to new regulatory requirements
- Provide a proactive compliance advisory service to all areas of the firm on regulatory matters
- Prepare/amend policies, procedures, and/or guidance to reflect regulatory requirements and to address the results of compliance reviews
- Assist with preparation and provision of training to all areas of the business on regulatory matters
- Carry out routine compliance monitoring and following up where appropriate
- Participate in adhoc compliance reviews and branch visits on topical issues
- Ensuring that any adverse findings from these reviews are escalated
- Review and approve research and marketing material, ensuring it complies with prevailing rules and guidance
Skills & Experience Required:
- Minimum of 12-18 months experience in Compliance, preferably within Financial Services
- A genuine and keen interest in Compliance and an understanding of the UK Financial Services Regulatory Environment
- Excellent communication skills - both verbal and written
- Exceptional attention to detail
- A flexible approach to work and able to adapt to changing demands
- Educated to A-Level standard or equivalent
If you like the idea of working for a reputable company, who will support your growth and development - this could be the perfect role for you!
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