The role of compliance & risk monitoring specialist will be within the client’s risk and compliance department providing second line of defence to the business and reporting into the compliance & risk section manager. Responsibilities will include regulatory compliance advisory, thematic and transactional monitoring, risk management, internal and external audit activity and creating and maintaining policies, processes, and procedures.
Location: Bracknell
The rate on offer: £350 to £400 per day via umbrella dependant on experience.
Hours: 08:00 – 16:00 Monday to Thursday with a half hour lunch break & 08:00 – 13:00 on a Friday.
This role will require the successful candidate to be on site full time for training before moving to a hybrid basis of working 50% of the time in office (example - 2 days one week, 3 days the following).
What you’ll be doing:
- Supporting the department in ensuring that client meets its legal and regulatory obligations.
- Conducting monthly transactional monitoring of key operational areas, for example, data subject access requests, breaches, and financial promotions.
- Conducting thematic monitoring reviews and producing a detailed report of findings.
- Analysing incident and breach forms submitted by business areas, requesting further information where required and uploading to the system platform.
- Assisting in the development and maintenance of the client’s regulatory business policies and procedures.
- Collating and distributing internal reports.
- Responsible for creating MI and slides for the monthly committee including watchlist and regulatory change.
- Responsible for reporting key activity to the head of risk and compliance for submission to steering committee.
- Maintaining and tracking various departmental and company-wide logs, for example, the training, and legal advice log.
- Shared responsibility for risk management activity.
- Horizon scanning to identify regulatory announcements and upcoming changes and writing briefing notes covering key regulatory updates and announcements for senior management.
- Distributing policies to relevant associates and logging attestations for reporting.
- Maintaining and tracking the reporting calendar to ensure reports are submitted before the deadline and requests for data are provided to relevant business areas in good time.
What we’d like to see from your application:
- Previous experience in compliance and risk within a financially regulated company.
- Have a basic understanding of the regulatory framework including financial regulators.
- Be able to demonstrate a highly organised and accurate approach to work.
- Strong analytic and interpretive skills.
- Effective communicator at all levels.
Email your CV to vacancies@hazellcarr.com to apply for this role with the subject matter: (Compliance & Risk Monitoring Specialist + Bracknell
Please note any offer is subject to satisfactory pre-employment screening checks. These consist of employment, activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks.
We are committed to equality of opportunity for all hires and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.