Risk and Compliance - Auditing Specialist

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
Project/Team Location: Quezon Gateway Tower 2

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