Risk and Compliance

3 weeks ago


Manila, National Capital Region, Philippines Neksjob Corporation Full time
Seeking a Compliance Specialist professional (at least 2 years' experience) in financial services (with special focus on insurance, consumer credit and debt collection regulations) for the United Kingdom, on a permanent basis.

RESPONSIBILITIES:
The Compliance Specialist's duties and responsibilities include (but are not limited to):

• Implementing and maintaining policies and procedures to ensure compliance by NextGen and their employees with the applicable rules, regulations and internal policies.

• Ensuring all controls and deliverables listed in NextGen's Compliance Monitoring Plan are performed accurately and timely. These include in particular

• Appointed Representative annual reviews and self-assessment

• Financial Crime Risk assessment

• Ensuring compliance with Consumer Duty regulation

• Ensuring Fitness & Propriety of Directors and Certified individuals

• Timely preparation and filing of Regulatory Reports

• Maintaining and monitoring appropriate training for all NextGen employees and staff on regulatory and compliance matters.

• Assisting the Compliance Officer with reporting to any relevant management committees and NextGen board of directors on compliance matters.

• Monitoring NextGen day-to-day compliance, including by providing assistance and support to the business in relation to regulatory and ad hoc compliance queries.

• Assisting in liaising and dealing with regulators

• collaborating with other departments (e.g. Legal, Operations) for assistance and support, and to direct compliance issues to appropriate existing channels for investigation and resolution.

OTHERS:
Project Shift Schedule: Rotation
Project Rest Day: Rotation

SKILL AND QUALIFICATIONS:

• Bachelor's degree in Accounting, Finance or Business Administration

• Must have at least 5-7 years of Auditing experience

• Must have at least 2-3 years of supervisory experience

• Experience from known auditing firms is an advantage

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