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  • Location: Tipton
  • Salary: £32,000 + Excellent Benefits per year
  • Job Type:Permanent

Posted 7 days ago

  • Sector: Compliance
  • Contact: Sam Anderson
  • Contact Email:
  • Contact Phone: 0161 883 2765
  • Expiry Date: 23 June 2023
  • Job Ref: 10371


Job Description

We are partnered with an established and growing West Midlands based Financial Services business in their search for a talented Conduct Risk Oversight Analyst.

You will be joining the Risk and Compliance team to provide independent second line oversight of the Society's conduct systems and controls in line with Financial Conduct Authority (FCA) regulatory requirements and industry guidance and practice.

Role Responsibilities:

Support the Conduct Risk Oversight Manager in the delivery of outcomes testing and compliance monitoring activities in accordance with the annual Risk & Compliance Plan.

Complete compliance and outcome reviews, identifying potential gaps / vulnerabilities in the firm's approach to conduct risk management, as well as highlighting root causes and consequences and examples of good practice or opportunities to improve processes or customer experiences.

Support the Conduct Risk Oversight Manager in the review and approval of financial promotions, critical communications, and other relevant materials in accordance with regulatory requirements and Codes of Practice.

Support the Conduct Risk Oversight Manager in providing MI / reporting to key stakeholders around the findings of oversight activities.

Contribute to the review and development of the firm's Risk & Compliance Universe and the preparation of the annual Risk & Compliance Plan.

Keep up to date with regulatory requirements and develop skills and capabilities as required.

Promote a strong risk culture throughout the Society firm.

Key Skills & Experience:

      Have a good knowledge of the financial services industry regulation, together with knowledge of conduct risk management and associated regulatory requirements.

Be able to summarise review findings accurately and concisely in writing to influence and gain buy in from stakeholders.

Have excellent customer service skills and will embrace the principles of Treating Customers Fairly and the firm's values.

Have good written and verbal communication skills.

Experience of outcomes testing and compliance review with at least 2-3 years' experience gained within a financial services environment.

A minimum of 5 GCSE grades 9 to 4 / A* to C (or equivalent) including Maths and English Language.

Ideally hold a relevant qualification e.g., Certificate in Mortgage Advice and Practice (Ce-Map) or be willing to study to achieve this.

Relevant qualification in risk and/or compliance (desirable).


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.