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Compliance Officer - Lending

  • Location

    London

  • Discipline:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £30,000 - £40,000

  • Consultant:

    James Flood

  • Email:

    jflood@merje.com

  • Job ref:

    JF/15370

  • Published:

    3 months ago

This is a second line of defence role, providing oversight, maintenance and development of the compliance assurance framework, systems and controls of the business.  

Responsibilities

  • Completing and supporting the business during compliance and regulatory reviews
  • Ensuring the Assurance plans and frameworks are maintained and executed
  • Contributing to the development of compliance procedures by identifying areas of weakness and making suggestions for improvement
  • Producing accurate monitoring and assurance reports
  • Providing compliance monitoring ensuring they meet regulatory expectations and obligations
  • Providing compliance help and advice to the business
  • Keep up to date with industry knowledge to ensure appropriate competency levels are maintained
  • Be familiar with the business and current regulatory and compliance initiatives in a way that is likely to meet the Financial Conduct Authority compliance requirements
  • Carry out duties following internal policies and procedures in accordance with applicable laws, rules, regulations, good governance
  • Liaise with other members of the Risk and Compliance team to ensure consistency and effective dissemination of best practice across the Company
  • Contribute to the development of compliance procedures by identifying areas of weakness and making suggestions for improvement
  • Assist in developing and implementing an effective risk and compliance culture throughout the Company
  • Supporting with Anti Money Laundering reviews and Audits
  • Supporting with updates of the Financial Crime policy, and with undertaking oversight activity 

Experience

  • Minimum 2+ years’ experience operating in UK Retail Banking or UK Financial Services
  • Ideally will already have working knowledge and experience of operating within a BTC and BTB lending
  • Working knowledge of UK Banking regulation and legislation and standards
  • Experience in the development and maintenance of Compliance assurance activities, reporting and maintaining support and advisory services to the business
  • Experience of maintaining compliance structures to promote a risk aware culture that maintains regulatory compliant arrangements

Competencies

  • Good knowledge of Microsoft Word, Excel and PowerPoint is essential
  • Good level of numeracy and literacy
  • Effective verbal and written communication skills
  • Ability to work under pressure and to meet deadlines

Personal Characteristics

  • Understands the difference between the spirit and letter of compliance
  • Organised and logical approach to task delivery
  • Focused with proven ability to deliver
  • Enjoys change and is adaptable to a changing working environment
  • Confident, is persistent and has belief in own ability
  • Takes initiative with a ‘can do’ attitude
  • Identify potential problems and seek advice/consultation when required

Qualifications

  • Degree level education, equivalent qualification or relevant work experience
  • Ideally have a Compliance qualification or certification

Other info

  • Role will be based in London with travel to other locations as and when required