The Audit & Risk Recruitment Company (ARRC) have been engaged by a specialist financial services business based in Nottingham. This Senior Compliance Officer role has come to the market by means of movement within this global business. The successful candidate will be responsible for overseeing risk based compliance assurance across the UK business in line with the Compliance Assurance Plan.
Core Responsibilities included:
Oversee assigned compliance reviews in accordance with the Compliance Assurance Programme
- Build and execute compliance Assurance Reviews which assess the effectiveness of compliance controls.
- Conduct fieldwork in line with the agreed program.
- Examine policies, procedures, and practices to ensure compliance with laws and regulations and implement any needed changes.
- Develop a programme of third party assurance using various proven methods of assurance
Key Experience & Skills:
- Experience within a similar risk/compliance/assurance or audit role, with exposure to Financial Services
- An understanding of the regulatory requirements within Financial Services.
- Experience of working in a compliance or audit function in a regulated environment.
- To support the Compliance Assurance Manager in the development of the annual assurance plan.
The ideal candidate will be a newly qualified Senior Consultant/Auditor from a Big 4/Top 10 firm looking to make their first move into industry (0-2years PQE), alternatively a Compliance officer working for a global/national financial services firm looking to move into a more senior/autonomous role. Applicants with varied Compliance/risk/governance related backgrounds will be considered for this role and are welcome to apply.
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