Compliance Consultant/Manager

Job Title Compliance Consultant/Manager
Sector Risk & Compliance
Location Potters Bar
Type Permanent
Salary £50000-£60000

Our client, a long-standing leader in the pensions industry, are looking for a Compliance professional to join their growing team and support the transformation and future growth of the business. You will responsible for providing the business with expert advice and compliance monitoring to ensure ongoing compliance with regulatory requirements, whilst also supporting regulatory projects as they arise.

Co-located in the 1st Line and working under the direction of the Compliance Business Support Manager, you will act as a bridge and facilitate an effective and balanced relationship between the 1st Line Business and 2nd Line Compliance Function. Using the framework, tools and training provided by the Compliance Function, maintain an in-depth business insight and sufficient authority to support the assigned Business/Functional Unit on compliance related matters, providing robust challenge and making a €˜value add' contribution to both Lines 1 and 2.

Responsibilities include:

  • Regulatory compliance advice and oversight
  • Compliance monitoring
  • Compliance procedures and policy attestation
  • Conduct risk events and regulatory breaches
  • Financial crime management
  • Data privacy management
  • Provide regular reports, updates and insights to other departments
  • Communicate and train employees on the compliance regulations

Skills required:

  • In-depth knowledge of the Financial Services industry, with ideally experience within Wealth Management
  • Experience in compliance monitoring and undertaking compliance reviews with minimal supervision
  • Excellent analytical and report writing skills
  • Ability to take a risk based approach to organising own workload
  • Ability to work in an ever-changing environment with fluctuating deadlines to meet
  • Strong interpersonal, influencing and stakeholder management skills, with the ability to communicate with management at a senior and executive level
  • Degree level qualification in a relevant industry or equivalent such as a Diploma in Compliance - ICA, Financial Planning Certificate
  • Wealth, bonds and CASS experience would be preferential but not essential

Position is based in their Potters Bar office.

Please apply today or for further details please contact

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