Compliance Regulatory Officer - Investments, West Yorkshire

Compliance Regulatory Officer – Investments, West Yorkshire

Client:

Meraki Talent Ltd

Location:

West Yorkshire, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Reference:

bca3a48854ae

Job Views:

7

Posted:

03.03.2025

Expiry Date:

17.04.2025

Job Description:

Meraki Talent are currently working with a leading investment firm with offices across the UK to help them identify a Compliance Regulatory Officer on an interim 18-month contract basis to join their team.

You will be an experienced SME and provide advice for any queries from colleagues and for scrutinising our firm’s internal policies and procedures.

Your key responsibilities will be:

• Carrying out and overseeing the process of testing, design, and operating effectiveness of internal controls.
• Assisting the team’s response to risk incidents and breaches by carrying out and executing internal reviews.
• Drafting or assisting with drafting internal policies and procedures.
• Performing research into various compliance topics, such as new and existing regulations, best practices, and assessing the possible implications on the firm.
• Performing central monitoring quality control audit checks on other departments.

We are looking for:

• Previous successful experience working in a Compliance role within financial services.
• High level of existing regulatory knowledge within Financial Services.
• Proven ability to work accurately with great attention to detail.

Desirable:

• Good knowledge of key regulations such as CASS, COBS, GDPR & Consumer Duty.
• Level 6 compliance-related qualification.
• Previous experience in Quality Control or Internal Audit.

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