Chief Financial Officer, FinTech / Brokerage
Emerald Zebra Talent Solutions
Compliance Specialist, Policy Framework and Governance
Domestic & General
full-time
Posted on:
Origin: • 🇬🇧 United Kingdom
Visit company websiteJob Level
Mid-LevelSenior
About the role
- Support implementation and maintenance of the overall Group Compliance Framework and create a centre of excellence
- Manage and oversee compliance policies, procedures and key controls ensuring communication and embedding across the business
- Support ongoing maintenance, control, monitoring and reporting of Whistleblowing, Conflicts of Interest, Gifts & Hospitality, Compliance Risks and Breach logs
- Support identification, design and delivery of business compliance training requirements
- Provide day-to-day compliance support answering regulatory or policy-related queries
- Assist in identifying, assessing and tracking compliance risks and issues and participate in regulatory change reviews
- Maintain compliance registers, documentation and reporting metrics
- Deliver or support compliance training and awareness activities
- Contribute to incident investigations and ensure accurate and timely issue resolution
- Collaborate with other control functions (Risk, Legal, Audit, Data Privacy) for coordinated compliance management
Requirements
- Strong knowledge of regulatory requirements and internal policy expectations to provide support and advice to the business
- Comfortable in assisting in interpretation of laws, regulations, and rules that impact the company’s operations
- Confident in supporting the drafting, review, and rollout of compliance policies and training materials
- Gathers and analyses compliance data, contributing to reporting and risk insights
- Lateral thinker with an ability to interpret and present solutions
- Understanding of application of FCA Handbook including ICOBS, SYSC, PRIN, Consumer Duty, SMCR and COCON is essential
- Understands Compliance Governance policies and frameworks in operation
