Compliance Specialist (Financial Services)

About the Role

Our client, a large, highly successful and fast paced organisation have the requirement for an exceptional Compliance Specialist to join their rapidly growing Financial Services operation based in the Bedfordshire area.

Please note: we are looking for people only with a background in Financial Services.

Key Responsibilities:

Performs and assists in development of enterprise-level risk management and operational compliance functions. Assists in establishing and maintaining risk policies and programs to ensure organisational compliance. Reviews and sets business, operational, and credit risk criteria across the range of segments and products. Ensures performance tracking and evaluation. Responsible for data gathering or manipulation, report creation, system or process creation and implementation. Mitigation can be defined as adapting and enforcing sound credit card policy criteria, maintaining adherence to all operating regulations and strategies published by the card brands and other legal/ regulatory bodies, training and engaging team members and leaders and developing strong data delivery and reporting in support of all contractual obligations.

  • Monitors complex legal/regulatory environment and emerging threats and trends in the industry, analysing impact and escalating relevant information/identified risks to management. Provides guidance and expert advice to less experienced team members and helps to train new team members. May support integration of segment analysis/assessments with enterprise reviews.
  • Conducts assessments and validation activities to verify highly complex operational compliance, identify and evaluate gaps and manage exceptions to policy. Collaborates with business unit and/or technical leadership for resolution and improvement to processes and procedures in case of non-compliance. Provides input to improving GRC and technical tools. May update and review select policies and procedures.
  • Creates highly complex reports and may present information to internal and external entities. Implements report processes as identified by management. Assures accuracy and completeness of data.
  • Leads highly complex project work with moderate to significant impact and frequently develops innovative solutions. Uses a variety of methods to train/engage team members and leaders throughout the business to ensure understanding of risk management and compliance principles.
  • Liaises extensively with technical teams to communicate and prioritise compliance and operational assurance related matters.

Preferred Experience & Qualifications:

  • Financial services
  • Contact Centre
  • Technical - Microsoft Office
  • Business, Criminal Justice, Information Security, Risk Management, Project Management, Certified Compliance & Ethics Professional (CCEP), Certified Anti-Money Laundering Specialist (CAMS), Certified Information Security Systems Professional (CISSP)

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