Compliance Officer

2 weeks ago

Coventry, Coventry, United Kingdom Calex UK Full time
Calex is a specialist training and consultancy organisation contracted to several market-leading automotive manufacturers. We have seen tremendous growth in our business in recent years and with that comes the opportunity to increase our workforce, so we are seeking to recruit a Compliance Officer working within the Stellantis Brand

Main Purpose of the Role:


Reporting directly to the Head of Compliance, you will ensure that the business complies with the rules and requirements of the Financial Conduct Authority (FCA).

This is a unique and varied role in which you will be exposed to many areas of the business.

You will work with the Head of Compliance, to develop and maintain the compliance monitoring plan and the provision of regulatory support to the business and play an active part in the wider Legal and Compliance Team.


Alongside the Head, you will ensure the culture within the business is one where customers are considered in everything we do, and through engagement with the business, ensuring that all processes, new initiatives, and customer interactions are based upon good ethical values.

You will also work with the Central Compliance and Ethics team to deliver central compliance requirements.

Working within the Compliance team you will play a supporting role for our NSC business units. You'll partner with our business units, stakeholders, and suppliers in providing specialist regulatory and compliance support.

Role and Responsibilities:

  • Working directly with our NSC business units to assess risk and compliance challenges within 1st line operations, and support 2nd line assurance measure to manage any identified gaps and risks
  • Cultivate positive working relationships across teams and locations
  • Support business areas to be responsible for assessing and identifying potential risks (both regulatory and nonregulatory), developing risk mitigation action plans and appropriate documentation of risk management policies and risk profiling
  • Support the development and annual reviews of key compliance policies and procedures
  • Support in the delivery of training material to ensure ongoing competence of operational teams
  • Ongoing monitoring of training and competence plans, and support any remedial actions relevant to bridge any identified gaps
  • Raise risk and compliance awareness through delivery of workshops, training, and coaching with the operational teams
  • In conjunction with the HR function, supporting our obligations under the SMCR regime are met in a timely manner
  • Participation in operational meeting and compliance reviews to ensure that the content and frequency of the meetings are sufficient for monitoring of the activities, and any associated risks
  • Support in the management of suppliers & third parties; due diligence processes; supporting reviews & approval processes, tracking and implementing process changes based on regulatory developments and reviews
  • Driving a culture of compliance across the group with a focus on the voice of a consumer
  • Manage regulatory risk by working with business areas to cultivate and maintain key relationships to enable the provision of proportionate and appropriate support on relevant regulations and business policies whilst supporting commercial strategy
  • Review and test the first line of defence systems and controls in line with the regulatory requirements
  • Support ongoing review and improvement of Compliance policies, processes, and procedures to ensure these are compliant with regulatory obligations and best practice
  • Support the development and dissemination of relevant data across the business, collaborating with colleagues to coordinate requests and responses for MI and reporting
  • Support to the Head of Compliance for compliance with Data Protection requirements, including GDPR, and security of other data relevant to activities for which responsible

Person Requirements:

  • Awareness and understanding of FCA sourcebooks
  • PRIN, CONC, DISP, SYSC, PROD and legislative frameworks such as the AML, Consumer Credit, Data Protection Act including GDPR is essential for the role
  • Awareness and understanding of Consumer Duty and delivery of good customer outcomes along with a sound understanding of the FCA's expectations in relation to the fair treatment of customers, and vulnerability, is essential
  • Experience of engagement with business stakeholders at all levels and you should have excellent accuracy and exceptional attention to detail within a timesensitive environment.
  • Experience of identification, management, monitoring and reporting of risks either in project or business as usual environment
  • Able to provide written and verbal support to operational business areas on the implications of regulatory requirements, drafting policies, guidance, operating processes, and procedures
  • Able to work collaboratively in projects and other multidepartmental activities, providing support to jointly achieve effective results
  • Ability

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