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Compliance Officer

Job Type
City of London, London
Up to £47800 per annum
Job Ref
Date Added
March 28th, 2024

Lorien are currently working with a public sector organisation who have a Fixed Term Contract Financial/Banking Compliance Officer role until the end of 2025 based in Central London.

This role is part of the compliance team working in the following core areas:

  • Working on business projects and providing appropriate advice and guidance.
  • Enabling the successful implementation and onboarding of new clients, and in the ongoing delivery in line with all clients' compliance requirements
  • Providing guidance on the creation of, and reviewing and approving financial promotions and customer facing documents to ensure that they adhere to the relevant regulations and procedures.
  • Provide guidance and support to the business and Business delivery partners to ensure that financial promotions best practice is embedded within the business.
  • Provide guidance on the resolutions and remedial action required for business incidents
  • Manage the process of and responses to Freedom of Information (FOI) requests received by the business within statutory timescales.
  • Providing advice and guidance to Business delivery partners and the internal complaints team on complex customer complaints and policy interpretation.

The overall objective is to ensure that the organisation is compliant with laws and regulations and that reputational risk is managed where business decisions are taken.

Extensive experience which has included the following aspects:

  • Experience in working in either Financial Services or Banking experience - Ideally Savings or Pensions/Life Assurance
  • In-depth knowledge of all rules, regulations, codes of practice, guidance and industry best practice relating to advertising and customer communications applicable in the financial services industry
  • Working knowledge of the FCA's rules relevant to retail financial services/cash deposits, in particular BCOBS, and the ASA codes of conduct for advertising.
  • Experience of writing policies and procedures to ensure they are reflected correctly in customer communications and vice versa.
  • Working knowledge of operational processes
  • Good communication (both written and verbal) skills.
  • The ability to work well under pressure and be able to multi-task
  • Excellent organisational skills and proven experience of meeting deadlines.

Salary is paying £47,800, 27% pension, 25 days annual leave, discretionary bonus, 9 day fortnight week

The role is on a hybrid basis working 2 days a week from the London office.

BPSS and Financial Checks will be carried out should you be successful in the process.

Carbon60, Lorien & SRG - The Impellam Group STEM Portfolio are acting as an Employment Business in relation to this vacancy.

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