Back to Search Results

Senior Compliance Executive

  • Location:

    Coventry, West Midlands

  • Sector:

    Financial Services

  • Job type:


  • Salary:

    £30000 - £40000 per annum

  • Contact:


  • Contact email:

    [email protected]

  • Job ref:


  • Published:

    13 days ago

  • Expiry date:


  • Startdate:


Job Description

Amazing opportunity to join a growing organisation in Coventry as a Senior Compliance Executive! You must have compliance experience within an FCA regulated environment (Banking, Insurance, Finance).

" Monday to Friday 8.30-5.30
" Up to £40,000 DOE
" Hybrid working (3 days in the office, rest at home)
" On site parking
" Pension
" Life Insurance
" On site canteen
" Electric car scheme
" Extra holiday for your birthday

Main Duties but not limited to;
o Identification, implementation and maintenance of regulatory controls to support global business development.
o Maintain the regulatory reporting calendar and ensure that all reports are produced.
o Where appropriate, support applications to relevant regulatory authorities in a timely manner.
o Input into monitoring plan and undertake monitoring activities as required by the FCA and other regulatory authorities, with oversight where outsourced.
o Support mapping out of regulatory obligations (including, but not limited to Client Asset Sourcebook ("CASS") Senior Managers Certification Regime (SMCR), Complaints handling, Treating Customer Fairly, Conduct Risk, MiFiD).
o Stay abreast of new business initiatives to ensure that regulatory obligations are considered.
o Ensure ongoing compliance and identification of any enhancement opportunities.
o Produce and implement regulatory compliance manuals and guides, liaising with group Risk and Compliance where applicable.
o Liaise with regulatory, legal and banking representatives as required.
o Adoption/adaption of regulatory policies and procedures
o Support the development of key metrics and regular reporting to management, committees, board to allow informed decision to me made that account for risk.

Person Specification;
" Background in FCA regulatory compliance
" Experience in liaising with regulators
" The ability to work under pressure in a fast-paced environment
" Knowledge of banking regulations
" Good organisational skills including prioritisation
" Clear communicator, both verbal and written
" Proficient in Microsoft Office Packages

Please click APPLY NOW, if you have relevant experience, a member of the team will be in touch if successful.


Looking for a job? Register your CV now


Looking to recruit? Find the perfect hire

Upload Job

Want a career at Brook Street? Join our team

Join Now