Compliance Monitoring Officer (12 Month FTC)

Recruiter
MERJE
Location
Manchester, Greater Manchester
Salary
£20,000 - £25,000 + Excellent Benefits
Posted
12 Sep 2018
Closes
12 Oct 2018
Ref
JK/14950
Job Sector
Compliance
Experience Level
Officer

The role is responsible for ensuing that the business is compliant for the purposes of its regulated activity in financial services.

The Client- Our client is a leading financial services’ business

This Client does not provide sponsorship.

The role-

  • Supporting the delivery of the compliance strategy.
  • Monitoring and reporting on the effectiveness of internal systems and controls to regulatory rules and guidance.
  • Assisting the Compliance Manager with the management and implementation of the Annual Compliance Monitoring Plan.
  • Engaging with functional areas within the business and relevant third parties to conduct each Compliance Monitoring review.
  • Testing and reporting on the effectiveness of policies and procedures, together with the associated systems and controls within the area under review.
  • Carrying out call listening and other checks to review and report on the effectiveness of the First Line Quality Monitoring function.
  • Reviewing and considering other sources of data (e.g. complaints, cancellations) to identify any potential failings and /or recurring themes.
  • Carrying out other ad hoc investigations and business support activities as required.
  • Capturing and recording Incidents and Breaches as appropriate – escalating significant issues to the Compliance Manager.
  • Preparing regular compliance reports for the Compliance Manager and assist in preparing on-going reports to the relevant Governance Forums.

Key Requirements-

  • Experience of working in a regulated firm and sound knowledge of the UK regulatory framework, including FCA rules and guidance in relation to Consumer Credit.
  • Awareness and understanding of current and new regulatory requirements affecting the business.
  • Ability to review business practices against regulatory expectations.

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