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Regulatory Compliance Officer

Salary Competitive
Type Permanent
Location Northwich
Sector Compliance
Job Reference UK02/jxl/27760
Contact BRUIN Financial
Date posted 08-01-2018

Are you looking for a dynamic role in a working for an award-winning bank?

We are working with a prestigious Financial Services institution to recruit an experienced Regulatory Compliance Officer. You will have previous compliance experience within FS, sound knowledge of legislation and a strong understanding of all regulations that impact the business.

This company encourages a sense of individual ownership whilst fostering team spirit and are firmly committed to the diversity of the workforce.

Skills Required:

• Responsible for ensuring the Bank’s systems and Controls meet or exceed required regulatory compliance standards.
• Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm’s FCA Approved Persons Registrations.
• Providing assistance in preparation for External/Internal Audits/Client Visits.
• Organisation and maintenance of Compliance documentation.
• Monitor and review regulatory changes from the PRA/FCA and other relevant regulators, perform initial gap analysis and help implement and changes where necessary.
• Help monitor, coordinate and manage the work conducted by the Risk & Compliance teams.
• Produce reports to the senior management of the firm relating to the effectiveness of regulatory compliance as directed by the Risk and compliance Director.
• Manage compliance/contingency/risk issues within own area of control and for the Bank.
• Provide advice on regulatory issues on areas of responsibility to all areas of the Bank’s business.
• Monitor adherence to the firm’s compliance with regulations as directed by the Risk and compliance Director.
• Arrange, administer and ensure that all staff have appropriate training in relation to regulatory compliance

If you are able to demonstrate knowledge in the core areas of regulatory compliance gained with a financial services organisation we would like to hear from you!

For more information please contact Josh Littlemore on 0161 204 3441 or

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