Compliance & Complaints Officer

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £22,000 to £27,000 + Benefits

  • Consultant:


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  • Published:

    over 1 year ago

Our client is a rapidly expanding Financial Services business who due to growth and success are looking to recruit a Compliance & Complaints Officer. In this role you will be responsible for assist the Company’s Risk & Compliance Business Partner in the execution of the company’s Monitoring Plan and performing Compliance monitoring activities and providing data to the Risk & Compliance Committee.

Key responsibilities include:

  • Carry out Second Line of Defence monitoring tasks for the Company
  • Assist with the administration of Data Subject Access Requests (DSARs) in accordance with statutory requirements
  • Act as secretary to the Company’s Regulatory & Compliance Committee attending their monthly meetings
  • Assist the Risk & Compliance Business Partner at monthly call calibration sessions with Operations and Quality Assurance
  • Raise customer queries to the Credit Reference Agencies and be a point of contact for the Credit Reference Agencies
  • Handle customer objections effectively through to resolution and make a final decision on the merits of the complaint
  • Responsible for maintaining all information and correspondence relating to complaints on the complaints database
  • Ensure adherence to the Companies’ internal complaints procedure and Client requirements and that appropriate complaint records are completed and maintained
  • Identify the root cause of complaints
  • Review and resolve complaints as required

Qualifications/Key Skills:


  • At least 1 years’ experience (or deemed equivalent) in a Compliance role and/or 1 year’s complaint handling within a FCA regulated Debt Collection Agency or Consumer Credit Lender
  • A good understanding of CONC, DISP, AML and general FCA requirements, Data Protection legislation, Consumer Credit Act and the Financial Ombudsman Service
  • The ability to work both on an independent basis and as a team-worker who must be able to build working relationships and interact with colleagues and wider Group stakeholders
  • MS Office and/or Google experience


  • ISO9001(6) and ISO27001(6) experience

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.