Compliance Advisory Executive

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  • Salary:

    £20,000 - £30,000 + Benefits

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  • Published:

    over 2 years ago

Job Description:  Working as part of a team assisting the business in delivering appropriate customer outcomes in accordance with the regulatory framework; across all areas of the business including servicing of mortgages and loan. The role involves providing technical support and guidance to the business in relation to policies, procedures and training.

The role would suit an articulate compliance professional with extensive knowledge of financial services regulation across lending.

The role will involve:

  • Work alongside colleagues across the business to provide ongoing advice and guidance on regulatory requirements, and assisting the business in raising operational and service standards through the identification and recommendation of best practices.
  • Build strong & effective working relationships across the business to help embed and promote a compliance and risk culture across the business.
  • Monitor regulatory fines and other market initiatives and complete business gap analysis to ensure business’ practices and processes, and those of its clients, are not exposed to such weaknesses, and are amended where required.
  • Support operational and regulatory projects acting as compliance SME to ensure regulatory requirements are met and any risks to the business are mitigated.
  • Assist in the development of training and reference material and standards & procedures documentation.
  • Maintain, and keep updated, Compliance frameworks, policies and procedures in line with regulatory change or clients’ requirements.

Key Requirements:

  •  Detailed knowledge of FCA rules and guidance including MCOB, CONC, CCA, DPA
  • Detailed knowledge of lending products
  • Three years’ experience working in a financial services regulatory environment