- Fantastic opportunity to join a leading Financial Services organisation
- Fantastic benefits
About Our Client
My client is a large Financial Services organisation based in Cardiff.
This is an exciting, newly created role reporting directly in to the Financial Director.
The role will include but not limited to:
- Determine systems and process related priorities across the Investment business
- Develop and implement appropriate systems and processes across the organisation to support the commercial businesses to be compatible with our legal compliance requirements and to meet good industry practice.
- Review and evaluate current documentation, processes, systems and practices against agreed frameworks and develop gap analysis plan
- Manage the effective implementation of the identified improvements to current systems and processes, working alongside relevant teams e.g. Finance, Technology, Customer Services, Legal and Compliance etc
- Review and assess the financial services regulatory requirements across customer operational procedures
- Design and monitor control systems to ensure compliance with both internal company policy and external regulation
- Manage and provide training, advice and support to the financial services operations team and wider operational teams in financial services compliance, processes and procedures
- Conduct systems and process risk assessments, regularly assessing the efficiency of the controls in place
- Monitor performance of of systems and processes and facilitate interventions to manage risks
- Perform systems and process audits and compile reports to identify non conformances and actions to improve
- Document financial services compliance-related processes and maintain records
- Keep up to date with financial services regulatory changes and developments
The Successful Applicant
Knowledge & Experience
- Educated to degree level
- An accredited qualification in financial services regulatory and compliance assurance will be advantageous.
- Experience as a financial services regulatory compliance specialist, of FCA regulation and requirements or similar in the financial services, wealth management and/or investment management sector
- Experience of auditing and driving improvements
- Deep and sound knowledge of regulatory policies as well as proven track record in implementing systems and processes in accordance with policies
- Experience of training and providing advice and support to operational teams around systems, processes and procedures
- Excellent interpersonal and communication skills with experience in communicating across all levels of an organisation
- Proven experience of driving improvements through systems, processes and technology
- Experience of influencing and leading cross functional teams to develop and implement solutions.
- Strong team player, who is comfortable in working as part of a virtual team
- Strong analytical skills, paying careful and particular attention to detail, and also have an investigative mindset
- Diligence and perseverance, must be willing to see an issue through to resolution
- Methodical and planned with strong attention to detail
- Passion for customers and user experience
- Always looking for the next improvement opportunity
- Confident and articulate in expressing your ideas to a mixed audience with varying views and challenges
What's on Offer
Salary c £40,000 - £45,000