Compliance Officer

Robert Walters
Bermuda Park
£25,000 per annum
06 Oct 2017
25 Oct 2017
Contract Type
Full Time

An excellent opportunity is available with a most respected Financial Services client based in Coventry for a Compliance Officer within prudential risk.

As part of the second line of defence, support the Prudential Compliance Manager in identifying, assessing and measuring regulatory risk in the context of prudential, securities and markets regulation, working with the first line of defence to influence compliant work activities.

Key Responsibilities:

  • Administer the horizon scanning process, scan and monitor a range of information sources
  • Act as a referral point for business colleagues with questions on prudential, securities and markets regulatory issues and escalate as appropriate
  • Co-ordinate updates to prudential risk and compliance operating procedures
  • Take actions agreed in thematic reviews and work with the first line of defence to remediate the situation
  • Monitor and keep records of regulatory correspondence and information requests.
  • Report progress and issues weekly

The Compliance Officer will possess a financial services background, and demonstrate ability to handle technical subjects. Formal compliance certification would be desirable. You will have had exposure to different areas of risk and ideally have prudential risk exposure or have knowledge of ICAAP.

Please apply now, or for further information, contact Kayte Short at Robert Walters at