Compliance Associate

Competitive | Sundridge | Permanent
Posted 8 months ago

Job purpose
This role is part of the Compliance team, currently 1, and involves the monitoring and control of the activities of the business, its business partners and introducers.
Attention to detail and accuracy at all times is a prerequisite as well as ensuring that the Company’s processes and procedures are followed. The role would involve development and improvement of the Company’s quality framework and promotion of adherence to all legal, regulatory and Company standards.

The key aspects of the role:
- To provide a business friendly and approachable service to the business teams whilst maintaining the necessary independence from these same teams
- Work with the business to undertake the programme of compliance monitoring activities, including writing reports and recommendations and following up on agreed actions
- Administer the requirements set out in the gifts/entertainment policy on a quarterly basis
- Assist the CCO with the identification, resolution and recording of any errors and regulatory breaches
- Assist the CCO with preparing regulatory reports and notifications
- Maintain and manage all information, data and records within Compliance to ensure information is readily accessible, searchable and up-to-date
- Provide compliance sign off for marketing materials (email, social media, digital, PR, Blog, etc.) prior to their publication and provide feedback to the Marketing team
- Assist the CCO with the application, maintenance and evaluation of the company’s Regulatory Business Plan, Staff Handbook, Data Retention, Protection and Security Policy and Compliance Monitoring Programme
- Provide Compliance Induction Training to new starters
- Prepare monthly compliance reports
- Monitoring of ongoing mandatory staff training
- Co-ordinate and provide input into FCA consultation documents
- Maintain up to date knowledge and awareness of forthcoming regulatory changes
- Frequent review of operational processes and procedures as required
- Decision making and the ability to act on your own initiative
- Keep up to date with the Company’s products

- Previous compliance experience
- 1-2 years previous financial services experience – preferably in a consumer finance environment
- Knowledge and experience of TCF principles and practices
- Knowledge and understanding of working in an FCA regulated environment
- Proven ability to write detailed policies and procedures
- Strong evidence of experience in the review of policies and processes
- Experience of working in a team in an office environment
- Knowledge of treating customers fairly (TCF)
- Awareness of current FCA and Consumer Credit legislation and regulations
- Ability to understand and comply with documented policies and procedures
- Excellent verbal and written communication
- Previous experience of Gabriel and Connect systems is desirable

- Adaptable and flexible
- Ability to work as part of a team but also individually
- Investigative skills
- Analytical and methodical approach
- Self-starter and highly motivated
- Results oriented
- Numerate
- Observant and resourceful
- Problem solving abilities
- Excellent planning and organisational skills
- Enthusiastic ‘can do’ attitude
- Able to work under pressure, to tight deadlines and ability to multi task
- Accuracy and attention to detail
- Represent the Company in a professional and confidential manner at all times
- Professional and well-presented
- Ability to establish effective working relationships and ability to engage with the full range of business
functions particularly in order to carry out the monitoring work
- Customer focussed approach

- Educated to degree level or equivalent
- Studies / examinations in compliance related subjects
- Computer Literate, including MS office products and Email

Additional information
- Permanent / 37.5 hours a week
- Must be able to reliably commute to office

The deadline for applications is February 28th 2018

For more information about this role, please contact:

Sarah Chatt
07887 510 355

See Sarah Chatt's jobs
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