Compliance Monitoring Officer (12 month contract)

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  • Salary:

    £20,000-£25,000 + excellent benefits

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  • Published:

    over 2 years ago

  • Duration:

    12 months FTC

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.