Our client is currently recruiting for a Compliance Officer, based in Stoke on Trent, to support the Head of Compliance in the provision of timely and accurate regulatory and industry advice to the business including regular risk reporting and second line compliance monitoring over key controls and risks to the business.
The Role
• To support the Head of Compliance in the timely delivery of monthly and quarterly compliance reports to the business (UK and Group) through the co-ordination, collation and presentation of conduct metrics and other business inputs • To act as lead in compliance monitoring including customer journey reviews, second line monitoring and key risk/control reviews • To take ownership for the timely delivery of responses to client audits and information requests, and any associated follow up activities • To support the Head of Compliance with the performance of ongoing Horizon Scanning activity including logging and documenting events, their potential impacts and key considerations • To provide support and assistance to the Head of Compliance in the performance of regulatory Gap Analysis in response to regulatory or business change, as required • To provide support to the Head of Compliance with performance of advisory activities including the provision of compliance advice and approvals • To support the Head of Compliance with the collation of accurate information to meet regulatory reporting requirements and other ad-hoc regulatory information requests as required • To provide SME support to the business in relation to internal projects • To support with breach and incident investigations as required including use of the Risk Management system • To deputise for Head of Compliance in matters relating to Compliance and Data Protection as required
BUSINESS AND DELIVERY RESULTS
• To promote and embed a positive compliance culture across the business • To support business compliance with regulatory and legislative requirements • To respond to internal and external audit and information requests • To facilitate the provision of timely and accurate reports to the business and regulator • To support the business with the acquisition and on-boarding of client opportunities • To support the delivery of the Annual Compliance Plan
ESSENTIAL KNOWLEDGE, SKILLS AND EXPERIENCE
• Working knowledge of regulation and guidance applicable to debt collection including FCA, Data Protection, OFCOM, CCA and CSA Code of Practice • 2 years + experience gained in a compliance role within an FCA regulated environment • Strong analytical and problem-solving skills • Self-motivated with the ability to work on own initiative to drive activities and meet deadline • Excellent interpersonal skills with the ability to adapt style and approach in different environments • Ability to influence key stakeholders and peers • Ability to remain calm under pressure and respond to challenging and changing business demands • Ability to work as part of a team to achieve results • Excellent Microsoft Office skills including Microsoft Word, Excel, Power point and Outlook • Excellent oral and written communication skills • Confident, well presented, personable and a self-starter • Logical thinker with the confidence to challenge existing business processes and practices • Excellent attention to detail and works to high standards • Desirable • Recognised compliance qualification • Knowledge of wider finance industry including retail lending, credit reporting
Similar job titles may include:
Regulatory Compliance Manager/officer, Financial Compliance Officer, Risk and Compliance Officer, Compliance Analyst, Operational Risk and Compliance Officer, Risk and Regulatory Compliance Advisor, Governance Risk and Compliance (GRC) Analyst, Compliance Monitoring Officer, Compliance specialist, Internal Controls Officer, Audit and Compliance Officer, Policy and Compliance Advisor, Operational Risk Officer.
