Location : Swindon
Post Date : 16 March 2017
Employment Type : Permanent
Job Order Number : 470041
Line of Business : Accounting and Finance
Compliance Officer/ Regulatory Officer
£40,000 + £6k Car + Bens
The main purpose of this role is to provide interpretation and guidance to all business areas and departments within the business on matters of Compliance
with the FSMA 2000;
the FCAs Handbook;
the PRAs Handbook and Rulebook and other legislation and regulation as required
- To review and summarise publications from the FCA, PRA and European Supervisory Authorities, and provide impact analysis for the various authorised firms within the Group.
- To liaise with business areas and departments on the implementation of regulatory driven changes, such as MiFID II.
- Provide guidance to business areas and departments on regulations relevant to business driven projects and developments; and support the delivery of business objectives.
- To consider the implications for our clients of regulatory and business led changes, to help ensure they are treated fairly and that their information needs are met.
- Act as a key point of contact for senior management for FCA and PRA rules.
- Attendance of industry discussion/working groups, seminars and conferences
- Excellent communication skills (written and verbal).
- Excellent analytical skills and experience of applying this in a regulatory context.
- Strong planning and organisation skills, with ability to assess conflicting demands and prioritise work appropriately to meet deadlines.
Required Technical Knowledge & Qualifications:
- It is essential that you are familiar with the FCA Handbook, with in depth knowledge of the requirements of COBS and SUP.
- Also, you will need to be familiar with the roles of EIOPA and ESMA in developing EU legislation.
- Experience of FCA processes for changes in control and the authorisation of new firms, is desirable.
- Candidates should hold, or be actively working towards, a relevant professional qualification from one or more of the following bodies: Chartered Insurance Institute, Chartered Institute for Securities & Investment, International Compliance Association.
In addition to an attractive salary you will also receive a number of excellent benefits including a non-contributory pension, private medical insurance, life assurance, a share incentive plan, bonus sacrifice arrangements to name but a few.
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply.
The Stella Building,
SN5 6NX Whitehill Way, Swindon