Role
We’re recruiting for a compliance specialist, who is able to enhance our compliance oversight functions and add value to our growing firm.
You will support the Risk & Regulatory Manager by managing compliance policies and controls across the business. You will work closely with all departments, to help improve the business ensuring it fully complies with all statutory and regulatory obligations.
Responsibilities
- Provide regular reporting to the Risk & Regulatory Manager as required
- Assist with preparing, reviewing, and updating the compliance and AML policies & procedures
- Monitor compliance with regulatory policies and procedures
- Advise and escalate compliance issues and/or any failings in systems and controls to senior management
- Assist in regulatory reviews and liaise with auditors and clients concerning compliance matters
- Manage the compliance controls across the business
- Contribute to the firm’s risk committee meetings
- Provide and/or arrange to train staff (new joiners) on compliance requirements and provide/arrange for annual refresher training for existing staff
- Maintain full and accurate records of audits and be able to present them to insurance providers
- Assist with the execution of the audit plan and actively challenge/seek improvement to the audit plan & methodology
- Work independently but also collaboratively at times
- Staying informed with any new regulations that become/are likely to become active and require action from the back now or in the future
- Leading audits end to end and also take responsibility for end of process reviews
- Following up with any recommendations you make before you report them directly to the audit committee
- Liaising with key stakeholders within the business in connection with risk matters
Competencies & Experience:
- Should have relevant experience managing compliance for an FCA regulated firm, or, working in an advisory and audit function of a professional services firm
- Independent thinker, with demonstrated good judgement, problem-solving and analytical skills
- Strong report writing skills with the ability to present information (and recommendations in a clear and logical way
- Experience of conducting interviews/discussing issues with, and presenting findings to, senior management
- Excellent written communication and verbal presentation skills
- A collaborative approach to working with others and committed to an inclusive environment
- Auditing experience within regulatory reporting/risk at financial institutions is desirable
- Ability to manage stakeholders appropriately
- Strong written and verbal communication skills that will allow you to communicate throughout other divisions of the orgnanisation
- Willing to travel/work from other IFX offices (Amersham, Warsaw etc).
