Marc Daniels are working with a household name automotive company based in Bracknell in their recruitment for an Compliance Officer to help them deal with FCA regulations and changes for an initial 6 month period very likely to be extended.
Benefits:
- Strong rate of pay £400per day
- Hybrid-working (50% in the office no set days)
- Flexible hours
- 35 hour work week
Main Responsibilities:
- Supporting the Compliance Manager in ensuring that the entity meets its legal and regulatory obligations.
- Providing expert regulatory advice and guidance to the business on a range of compliance topics including but not limited to, Consumer Duty, credit broking requirements within the Consumer Credit Sourcebook (CONC), and Data Protection.
- Undertaking monitoring and testing activities in accordance with the Annual Compliance Monitoring Plan, to assess the effectiveness of regulatory and conduct risk control processes in place, the level of compliance with regulatory and internal standards, and transactional monitoring of key operational areas such as complaints and Data Subject Access Requests.
- Producing written reports of monitoring outcomes, review findings and action plans.
- Reviewing and supporting the business to log breaches and incidents, ensuring accurate records are maintained to evidence closure of remedial actions taken.
- Conducting root cause analysis on complaints, breaches, and incidents data to identify themes and emerging risks that inform continual improvement of policies, processes, and procedures and delivery of good customer outcomes.
- Assisting in overseeing risk management activity at both departmental and business-wide level to ensure all relevant risks and controls are captured on the Risk Management Tool.
- Reviewing and updating applicable polices, processes and procedures, overseeing the implementation of these as appropriate.
- Providing sign-off of on marketing materials and customer communications in accordance with FCA rules and guidance and conducting second line monitoring on any delegated sign-offs.
- Assisting with the collation of risk and compliance Management Information (MI) for reporting to senior management, Committee(s) and/or Board meetings. Conducting annual thematic reviews of operational end-to-end processes and providing a final report to the relevant business area.
- Assisting with the collation of risk and compliance Management Information (MI) for reporting to senior management, Committee(s) and/or Board meetings.
- Conducting annual thematic reviews of operational end-to-end processes and providing a final report to the relevant business area.
Requirements:
- Have worked in a regulated financial services firm.
- Has the ability to understand and interpret legislation and regulation.
- Has experience conducting second line monitoring, both transactional and thematic.
- Has experience producing management information.
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