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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.
- 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)