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  • Posted: Jan 20, 2025
    Deadline: Not specified
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  • EXL is the indispensable partner for leading businesses in data-led industries such as insurance, banking and financial services, healthcare, retail and logistics. We bring a unique combination of data, advanced analytics, digital technology and industry expertise to help our clients turn data into insights, streamline operations, improve customer experience...
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    Compliance Officer

    About the job

    • Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks

    Description:

    • Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks

    Responsibilities:

    • Compliance Advisory: Provide guidance on FCA regulations, policies, and procedures.
    • Risk Identification: Identify, assess, and mitigate regulatory risks.
    • Policy Implementation: Develop, implement, and maintain compliance policies.
    • Monitoring and Surveillance: Conduct regular monitoring and surveillance.
    • Training and Awareness: Deliver compliance training to business units.
    • Regulatory Updates: Stay up-to-date with FCA regulatory changes.
    • Audit and Compliance Reviews: Participate in internal audits and compliance reviews.
    • Issue Resolution: Investigate and resolve compliance issues.

    Key Performance Indicators (KPIs):

    • Compliance breach reduction.
    • Regulatory exam results.
    • Training participation and feedback.
    • Policy update and implementation timelines.
    • Risk assessment and mitigation effectiveness.

    Qualifications and Skills

    Required Skills:

    • Strong knowledge of FCA regulations and guidelines
    • Compliance experience in financial services
    • Analytical and problem-solving skills
    • Effective communication and stakeholder management
    • Risk management expertise

    Education and Certifications:

    • Bachelor's degree in law, Finance, or related field preferred 
    • Compliance certification (e.g., CCEP, CCO, FCA)

    Check how your CV aligns with this job

    Method of Application

    Interested and qualified? Go to EXL South Africa on www.linkedin.com to apply

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