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This position will be responsible for supporting the compliance activities within the UK regulated business, including identifying compliance risks related to legal and regulatory guidelines and ensure remediation plans are appropriate and executed timely.
The role, based in the UK, sits within the Regulatory Compliance Group that is based in Alpharetta, Georgia, and will work closely with each of our business units and our technology function.
Drive the compliance risk assessment process to prioritize compliance efforts across the organization.
Coordinate with the Compliance Monitoring and Testing team to identify trends and compliance risks.
Maintain compliance related policies and procedures, and as required, draft new policies and procedures.
Collaborate with the business units and support functions to assess and enhance first and second line of defense controls.
Assist in defining the scope and developing testing procedures for compliance audit and testing initiatives.
Partner with internal and external stakeholders, including Compliance Testing and Monitoring team to develop and execute assessments.
Work cross functionally to ensure compliance requirements are implemented, communicated and managed long term.
Manage, resolve and escalate, as appropriate, issues to the regulatory compliance and business unit lawyers.
Assist regulatory compliance lawyers with responses to regulatory inquiries, consumer disputes and customer compliance issues; review the handling of such matters and recommend changes to policies, procedures and products as identified.
Be the primary point of contact for the regulatory bodies, particularly the FCA, in relation to any communications received from the regulator.
Teamwork: Works effectively and cooperatively with other people; creates a commitment to common goal and values the contribution of all team members.
Detail Oriented: Ensures that information is always reviewed and presented in a thorough and accurate manner.
Analytical: Systematically gathers relevant information and applies it to logically solving problems and making decisions.
Personal Leadership: Creates and communicates a compelling and inspiring vision or sense of core purpose.
Initiative: Takes initiative and proactively manages workload and schedule.
Bachelor's degree or equivalent extensive work experience required related in compliance, consulting, or internal/external audit preferred.
Experience preferred in responding to regulatory examinations or investigations.
Experience preferred in working within an FCA regulated environment.
Excellent writing skills and strong ability to communicate verbally with individuals who may be unfamiliar with complex legal issues.
Skilled in industry research and benchmarking, performance assessments and development programs.
Certifications preferred (e.g., CPA/CA, CIA, CISA, CFE, etc.)
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