My client is a professional organisation with a strong people-first culture and they are looking for a Compliance Officer with financial services experience to join a friendly team of people that encourage development and personal growth
- Conduct independent internal audits of client applications to ensure that compliance within the organisation is being appropriately adhered to and any issues are investigated and resolved.
- Undertake due diligence on suppliers and undertake reviews to ensure suppliers are performing to standards.
- The role holder will develop, maintain, and revise policies and procedures for the general operation of Compliance, fraud prevention and its related activities to prevent illegal, unethical, or improper conduct.
- Works with other departments (e. g. Sales and Case management) to identify potential areas of compliance vulnerability, fraud and risk; develops/implements measures and implements preventative measures and corrective action plans for the resolution of problematic issues, whilst providing general guidance on how to avoid or deal with similar situations in the future.
- Serve as subject matter expert on suspicious activity monitoring to other departments by providing advice and counsel to ensure they understand fraud and AML compliance and implications to their operations.
- Provides reports on a regular basis, and as directed or requested, to keep the Head of Risk and Senior Management informed of the operation and progress of risk and compliance efforts.
- Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
- Proven track record working in a complex, financial environment.
- Prior compliance experience at a financial institution.
- Experience of compliance auditing and reporting. A good understanding of fraud and AML compliance.
- Collation and analysis of management information and preparation of associated dashboards and reports.
- Experience of preparation of committee/board papers.
- Sound knowledge of regulatory policies and principals.
- Great bonus scheme, free onsite parking, pension, corporate rate gym, competitive holiday, DIS and healthcare
Please note that we expect a high response to this position if you have not had a response within the next 3 days please assume that on this occasion you have been unsuccessful.