Compliance Monitoring Officer
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Location
Preston
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Discipline:
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Job type:
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Salary:
c. £32,000 + Benefits
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Consultant:
#
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Email:
pclayton@merje.com
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Job ref:
PC/16544
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Published:
12 months ago
The role of the Compliance Monitoring Officer is to assist the Compliance Manager in the successful delivery of the firm’s internal compliance and oversight program.
Key responsibilities include:
• Conduct routine compliance monitoring reviews in with line with the Compliance Monitoring Plan
• Conduct both field based and desktop reviews of retail partners
• Assess the compliance arrangements of retail partners on an ongoing basis by reviewing websites, policies, processes & marketing materials and providing feedback with recommendations
• Produce regular reports and MI for key stakeholders
• Play a key role in the identification, mitigation and ongoing management of risk
• Provide guidance on regulatory matters to the business and its retail partners
• Support retail partners and lenders in the timely resolution of complaints
The Person:
• Working knowledge of FCA regulations, in particular CONC, DISP and SM&CR
• Experience of working in a compliance role, such as compliance monitoring, auditing or quality assurance
• Experience of working in consumer credit or financial services