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Compliance Adviser - Clydebank

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Posted By: First People Solutions Group Ltd
Address:
Contact: 0141 270 5000
Date Posted: 12th Sep 2008
Salary: £27500 - £35000 per annum + Car + excellent benefits package
Location: Glasgow
Reference Code: 0807-292
Views Since Posting: 213
Full Description:

Job Title Compliance Adviser
Location Clydebank
Salary £27,500 - £35,000
Full Time, Permanent

THE ROLE

As a Compliance Adviser you will assess risks, controls and processes from a regulatory perspective across business areas to ensure planned monitoring reviews are conducted satisfactorily to plan, and to ensure findings are reported appropriately and used to improve the overall level of regulatory Compliance within the business.

Reporting to a Monitoring Manager, the Compliance Adviser is responsible for ensuring planned monitoring reviews within retail, Integrated Financial Solutions (IFS), and NAG support functions are conducted satisfactorily to plan.

Typical responsibilities will include:

Pre-monitoring visit investigation of areas for testing
Identification of trends in compliance failures and to establish the root of such failures
Conducting monitoring visits to/ongoing within Retail, IFS and NAG support functions in accordance with monitoring visit plan
Monitoring procedures including planning visits/ongoing monitoring
File/other document reviews and interviewing of staff
Providing verbal feedback on visits to operational Unit Managers
Coach and upskill the business when required

You will also verify completion of corrective action and where necessary, conduct verification visits, recommending changes to operational procedures to increase compliance skills and raise standards.
Participate in ongoing development projects when required, issue concise pragmatic reports quickly after the visit concludes and ensure all monitoring visits allocated are executed as planned and to expected standards.

Essentials for this role are:

Professional qualification e.g. CIOB, CeMAP, FPC 1, 2, 3, Securities Institute or equivalent
Excellent knowledge of Bank policies, procedures and tools, particularly as they apply to personal and business banking sectors
Understanding of the UK regulatory environment and applicable regulations, Codes and compliance requirements
Relevant working experience within the Financial Sector
Credibility with and proven experience of influencing people at all levels within the organisation
Proven experience in planning and managing own workload as well as others, especially in balancing multiple role priorities
Excellent written/verbal communication skills
Excellent analytical skills to review information and identify trends

Knowledge of risk processes, procedures and an understanding of risk identification, assessment and measurement principles/methods would be desirable, as well as good experience in coaching others.

A full driving licence is essential to this role as the employee will be required to be mobile.

***SCOTTISH RECRUITMENT AWARDS WINNERS***
Winner: Large Recruitment Agency of the Year 2007
Winner: Permanent Recruitment Consultant of the Year 2007
Winner: Recruitment Manager of the Year 2007
Runner Up: Best Practice of the Year 2007 (IT Division)

ABOUT FPSG

Established in 1998, First People Solutions is one of the UKs fastest growing independent recruitment and HR services organizations, and one of the largest in Scotland.

With our vast number of clients we have outstanding opportunities for candidates. Our teams of highly experienced consultants are on hand to guide you through every stage of the recruitment process and offer invaluable advice and knowledge in your dedicated market sector.

First People Solutions Group operates as a Recruitment Agency in providing permanent job-seeking services and as a Recruitment Business in providing temporary and contract job-seeking services.
London, Surrey, Manchester, Edinburgh, Glasgow (HQ)

FIRST PEOPLE SOLUTIONS GROUP ARE AN EQUAL OPPORTUNITIES EMPLOYER