Compliance Officer
Core
Provide expert compliance advice and ensure regulatory standards are met across products and services, covering product governance, complaints management, and conduct risks.
Role type
Compliance Officer
Builds
Compliance frameworks, risk assessments, management information, and regulatory filings
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance frameworks, product governance, complaints management, financial promotions, conflict of interest assessment, outsourcing compliance
Preferred skills
Business acumen, adaptability, fast-paced environment experience
Technologies
N/A
Responsibilities
Advise on compliance for all products and services; Review and approve client complaints; Review and approve Financial Promotions and Client Communications; Maintain compliance policies and procedures; Conduct desk-based reviews of systems and controls; Produce risk assessments, management information, and board-level reports
Seniority
Mid-level, hands-on IC
