any queries, complaints and operational or regulatory risks to the relevant team to ensure they are handled
any queries, complaints and operational or regulatory risks to the relevant team to ensure they are handled
compliance with statutory and regulatory requirements
ongoing compliance with statutory and regulatory requirements Regular risk assessments and updates to Risk and compliance with regulatory changes such as the Treating Clients Fairly, Risk Management Policy Complaints
ongoing compliance with statutory and regulatory requirements Regular risk assessments and updates to Risk and compliance with regulatory changes such as the Treating Clients Fairly, Risk Management Policy Complaints
Is this you? You have a passion for regulatory compliance and risk management in the investment sector
Is this you? You have a passion for regulatory compliance and risk management in the investment sector
and credit processes to maintain regulatory compliance and minimize risk exposure
Process Optimisation:
Our client, a financial services provider, is seeking a Compliance Officer experienced in long-term insurance, FIAS and FICA. The ideal candidate would have completed their supervision and will report directly to the Senior Manager in the team.
Responsibilities:
stay ahead of industry trends, regulatory changes, and emerging risks, implementing the cutting-edge