Job details
Please mention DJ268 when enquiring about this vacancy or use the form below.info@morgan-harvey.co.uk
| Risk and Regulatory Officer - vacancy filled | |
| Surbiton, Surrey
£45000 - £50000 DJ268 permanent position |
My esteemed client is in need of a new Risk and Regulatory officer. The Risk and Regulatory officer MUST have very good past experience in a previous role that is comparable with this Risk and Regulatory position. Purpose of Role: Analysing, interpreting and managing the implementation (where appropriate) of legal and Regulatory dictates throughout the business, undertaking internal audits to ensure compliance, advising on regulatory issues across the business. Key Responsibilities: • Understanding, interpreting and implementing regulatory issues & FSA rules across the business • Plan and execute internal regulatory audits across the business • Identify potential regulatory risks, determining their likelihood and consequences for the business • Produce and maintain procedures for monitoring compliance • Plan, execute and report on internal operational audits, when required • Advise departments on practical implementation of procedures and key controls • Deliver findings and recommendations to key stakeholders across the business • Assist with staff compliance training where necessary • Prepare summary papers to advise the Directors of legal / regulatory changes Measures of success: • Working knowledge of CCA, TCF, DPA, Money Laundering Legislation. • Understanding of European Regulations • Good understanding of the Regulatory framework in the UK Competencies/Skills/Experience: • Extensive Compliance experience within Financial Services Industry • Knowledge of FSA Handbook and other key regulations • Ideally Audit / risk analysis experience in a Financial Services environment • Ability to build relationships with key stakeholders • Exceptional influencing skills • Interpersonal skills • Verbal and written communication skills • Judgement and confidentiality • Experience of working with Oracle • Analytical • Planning and organising • Assertive • Good oral / written communication at all levels • Innovative • Initiative • Commercially aware • PC literate |
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