Risk & Compliance Officer

1 week ago

Reading, Reading, United Kingdom Ultimate Banking Ltd Full time

Introduction:


Our client is a high growth FinTech business in the UK but backed by an international business firmly established and so well capitalised.

They operate an innovative and proven mortgage processing solution for both conveyancers and lending providers whichthey have recently launched into the UK market.

You will join a team of skilled and passionate people whose culture centres around collaboration and inspiring impact.


The Risk and Compliance Officer will provide support to the UK CRO, with the embedding and enhancement of the UK Risk and Compliance Frameworks followed by responsibility for the operational requirements of those frameworks.

This role will be particularlyfocussed on areas of the framework related to the Solicitors Regulation Authority requirements, ensuring Policies, Procedures and Controls are in place and operating effectively.


Given the relative start-up nature of the role, every day is different but this is a great opportunity for a confident self-starter who has a 'can do' attitude and adaptable to learn new skills in a fast paced environment.


Responsibilities of the Risk & Compliance Officer include:

  • Ongoing review of Group Policies to ensure they are relevant for the UK, execution of the Annual Compliance Monitoring Plan, maintaining the Risk and Control Self-Assessment (RCSA) process, as well as ensuring effective Business Continuity, Disaster Recovery,and Operational Resilience frameworks and documentation are in place; thereby providing oversight and challenge to 'First Line of Defence' colleagues to identify and mitigate the risks for which they are responsible.
  • Working alongside the UK CRO to provide independent assurance that the UK is meeting its regulatory and customer obligations, specifically in respect of the 'Second Line of Defence' elements
  • Providing risk and compliance input into the ongoing development of the product proposition, including the associated change activities.
  • You will also be supporting the preparation of reports to various UK and Parent committees (Australia), as well as the UK regulators as required.

Requirements for the Risk & Compliance Officer role include:

  • Ability to deliver multiple initiatives / projects simultaneously and autonomously with a sense of urgency (essential)
  • Good understanding of FCA, PSR, SRA and Data Protection / GDPR regulations (essential)
  • Understanding of the mortgage and/or payments markets (desirable)


Our client works on a largely remote basis, however they do meet up once a week in a central location, currently Reading.

You will be required to travel to the office no more than once a week and if you live over 60 miles from the office, your travel willbe paid but depending on where you live you will need to have the ability to stay overnight when required.

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