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Randstad Business Solutions
,
London, Greater London
Compliance Monitoring Officer
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Job Type: Full-time |
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Overview
Key duties Monitoring Programme Maintain, develop and drive the completion of the Compliance Monitoring Programme; Conducting risk based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies Become the SME on Compliance monitoring and changes in industry and or FCA requirements Financial Promotions Review and approval of financial promotions On-boarding On-boarding of new client and counterparty relationships Process/Procedures To assist in developing and implementing an effective compliance culture throughout the Company Contributing to the development of regulatory procedures by identifying areas of weakness and making suggestions for improvement Reporting Assisting with GABRIEL returns Assisting in the production of MI on compliance issues Criteria Skills & abilities Fluent English - verbal and written - ability to communicate through reports to a high level Ability to manage, synthesise and explain complex issues to senior managers and staff in a simple and coherent manner Self sufficient and requires minimal supervision in role while able to prioritise and deliver to tight timescales High level of MS office in particular excel and word FCA Handbook and relevant regulations Experience Previous experience of Compliance Monitoring to a high level FCA reporting considered an advantage Knowledge Knowledge of best practice monitoring and reporting including training related to monitoring Related product knowledge Front office on boarding procedures Sales cycles Regulatory parameters related to aspects of the role Personal attributes Confident and self-sufficient Entrepreneurial with a desire to be accountable and make a difference Ability to communicate clearly in writing and verbally to all levels of staff Adaptable/Flexible and comfortable with a broad variety of duties that may change at short notice Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003