Surbiton, Surrey
£45000 - £50000
DJ268
permanent position |
My esteemed client is in need of a new Risk and Regulatory officer.
The Risk and Regulatory officer MUST have very good past experience in a previous role that is comparable with this Risk and Regulatory position.
Purpose of Role:
Analysing, interpreting and managing the implementation (where appropriate) of legal and Regulatory dictates throughout the business, undertaking internal audits to ensure compliance, advising on regulatory issues across the business.
Key Responsibilities:
• Understanding, interpreting and implementing regulatory issues & FSA rules across the business
• Plan and execute internal regulatory audits across the business
• Identify potential regulatory risks, determining their likelihood and consequences for the business
• Produce and maintain procedures for monitoring compliance
• Plan, execute and report on internal operational audits, when required
• Advise departments on practical implementation of procedures and key controls
• Deliver findings and recommendations to key stakeholders across the business
• Assist with staff compliance training where necessary
• Prepare summary papers to advise the Directors of legal / regulatory changes
Measures of success:
• Working knowledge of CCA, TCF, DPA, Money Laundering Legislation.
• Understanding of European Regulations
• Good understanding of the Regulatory framework in the UK
Competencies/Skills/Experience:
• Extensive Compliance experience within Financial Services Industry
• Knowledge of FSA Handbook and other key regulations
• Ideally Audit / risk analysis experience in a Financial Services environment
• Ability to build relationships with key stakeholders
• Exceptional influencing skills
• Interpersonal skills
• Verbal and written communication skills
• Judgement and confidentiality
• Experience of working with Oracle
• Analytical
• Planning and organising
• Assertive
• Good oral / written communication at all levels
• Innovative
• Initiative
• Commercially aware
• PC literate
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