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Business Compliance Officer

Support the Head of Compliance and the Head of Policy and Advisory in award-winning banking and investment firm, offering a progressive working environment where people and values drive their continued success and support their growth strategy.

There has never been a more exciting time to join this organisation and be part of an international workforce with an impressive business model based on trust and integrity.

Within this role you will be involved in embedding the business risk management function relating to the compliance risk management process, as required by relevant regulatory requirements, applicable codes of conduct and minimum standards.

Responsibilities will include:

  • Providing input into and developing the compliance risk management plans
  • Providing advice to management, relevant committees, the embedded business risk management function and employees, in order to effectively manage compliance issues and identify compliance risks
  • Maintenance and alignment to the compliance manual
  • Ensuring all training which has been tailored for the business unit is signed off and, if appropriate, assisting in the delivery of the training and awareness
  • Remaining aware of regulatory, legislative developments and practices of regulatory authorities

Experience and skills required:

  • Hold a relevant qualification
  • 1-2 year’s industry experience
  • Ideally 3-4 years experience of working in a compliance advisory capacity within and operations environment
  • Solid understanding of banking products and associated regulatory frameworks, including client assets and transaction reporting obligations
  • Knowledge of upcoming regulatory developments impacting the financial services

If you’d like to find out more information about this opportunity, please call us on 01534 626777 or email jobs@rowlands.co.uk

We are an equal opportunity employer and value diversity at all times.

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Business Compliance Officer
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