Exl | Compliance Officer

Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks
Description: Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks
Responsibilities: 1. Compliance Advisory: Provide guidance on FCA regulations, policies, and procedures.
2. Risk Identification: Identify, assess, and mitigate regulatory risks.
3. Policy Implementation: Develop, implement, and maintain compliance policies.
4. Monitoring and Surveillance: Conduct regular monitoring and surveillance.
5. Training and Awareness: Deliver compliance training to business units.
6. Regulatory Updates: Stay up-to-date with FCA regulatory changes.
7. Audit and Compliance Reviews: Participate in internal audits and compliance reviews.
8. Issue Resolution: Investigate and resolve compliance issues.
Key Performance Indicators (KPIs): 1. Compliance breach reduction.
2. Regulatory exam results.
3. Training participation and feedback.
4. Policy update and implementation timelines.
5. Risk assessment and mitigation effectiveness.
Qualifications and Skills Required Skills: 1. Strong knowledge of FCA regulations and guidelines
2. Compliance experience in financial services
3. Analytical and problem-solving skills
4. Effective communication and stakeholder management
5. Risk management expertise
Education and Certifications: 1. Bachelor's degree in law, Finance, or related field preferred
2. Compliance certification (e.g., CCEP, CCO, FCA)

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