Compliance Assurance Officer – Lending / Banking

  • Location


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  • Job type:


  • Salary:

    £30,000 - £35,000

  • Consultant:

    Kirstie Burn

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  • Published:

    17 days ago

The key purpose of this role is to assist the Deputy Head of Compliance and Compliance Assurance Manager in developing and delivering risk based assurance activities.

The Client-

Specialist lending and retail savings group, listed on the London Stock Exchange and part of the FTSE 250.

The role-

  • Support the Deputy Head of Compliance in undertaking robust compliance risk assessments and developing a risk based annual Compliance Assurance Plan
  • Communicate any legal or regulatory changes to key stakeholders in the Bank
  • Plan, execute and report against the Bank’s Compliance Assurance Plan, maintaining accurate records and providing concise written and verbal reports highlighting key issues and recommendations for improvement actions
  • Assisting in the preparation of Compliance Reports for the Board, Audit Committee, Risk Management Committee and Operational Committees of the Bank
  • Assisting in relation to investigations into Compliance related incidents / breaches and the provision of compliance advice on identifying appropriate remedial actions
  • Support HR in the identification of any compliance related training needs, during the course of monitoring activities
  • Contribute towards the development of team related policies, procedures and standards

Key Requirements-        

  • 12 months experience in compliance
  • Preferably Compliance Monitoring / Assurance experience
  • Ideally bring an understanding of and ability to interpret FCA regulations
  • Financial Services experience would be of great benefit although open to seeing candidates from all industries
  • 12 months experience of exposure to and understanding of commercial functions and operational processes
  • Strong communication skills