Compliance Assurance Officer

2 weeks ago

Wolverhampton West Midlands, United Kingdom OSB Full time

About the team:

The Compliance Assurance Team supports the Bank by providing reasonable assurance of compliance with relevant regulations and good conduct operation. That assurance is gained through thematic reviews, compliance monitoring activities, and control testing of key business areas over the course of the year to deliver a risk-based assurance plan.

Our philosophy:

Before you read on, we'd like you to know that we're committed to diversity and hope that our employee base reflects the diverse nature of our society. To understand more, please follow:

Our recruitment process can include telephone calls, virtual meetings via Webex and face to face meetings in one of our offices. If you apply for one of our roles, we will be sure to ask you if you require any support with any of these stages.

What you will be doing:

In this role, you will assist in delivering our Compliance Assurance and Monitoring reviews in line with internal quality standards whilst adhering to our Compliance Assurance Methodology. You will help to ensure the organisation maintains adherence to regulatory requirements and internal policies and procedures, assisting with compliance monitoring, testing, assurance activities, and identifying and mitigating risks across business functions.

This role will work closely with cross-functional teams to foster a culture of compliance, providing insights and guidance on compliance risks, controls, and best practices.

Your responsibilities will include…

  • Executing timely and robust Compliance Assurance and Monitoring reviews across the Group to assess the effectiveness of compliance controls and programmes which includes the assessment of customer outcome across the full product lifecycle when necessary
  • Conducting risk-based testing which is aligned with emerging risks, and regulatory requirements, adapting them as necessary to respond to new risks or regulatory changes
  • Recording operational management responses and evidence, tracking action progress through to closure, and conducting proportionate follow up validation assessments from Compliance Assurance and Monitoring reviews
  • Understanding and contributing to compliance risk assessments, in collaboration with the Compliance Senior Leadership team, identifying, quantifying, and prioritising compliance risks
  • Monitoring regulatory developments and changes in the industry to adapt the application of assurance frameworks and methodologies accordingly
  • Communicating key compliance findings, risks, and issues, providing practical recommendations for ongoing risk mitigation and improvement with varying levels of stakeholders, whilst supporting and developing effective key stakeholder relationships.

The role can be based in Chatham or Wolverhampton

In return for your commitment:

Please use this link to see the fantastic benefits available at OSB:

Could you be the one?

We are looking for talented individuals who have the experience and knowledge set out below:

  • Previous experience is required working in a compliance monitoring, quality assurance or audit role within a regulated lending or banking environment; communicating effectively with different stakeholders and audiences at a variety of levels; analysing information and identifying implications
  • Knowledge of the FCA regulatory expectations relating to conduct risk and customer outcomes
  • Awareness of regulatory requirements, compliance risk assessment methodologies, and industry best practice in compliance assurance

We also believe that your career and how you progress is as unique as your individual personality. We continually support our people so they can become the best version of themselves.

What to do next

If this sounds like you, please apply now

If shortlisted from your initial application we operate a personalised recruitment process.

Interviews are a two way street, we aim for them to be relevant and conversational to get the best out of you

OSB Group are dedicated to diversity in the workplace and committed to treating all our employees and job applicants equally. We embrace equal opportunities and are opposed to discrimination on any grounds.

As part of our public commitment to the Women in Finance Charter, we have introduced our own initiatives to attract, develop and advance senior women in our sector.

We don't stop there though, we have broadened our approach to encourage diversity and inclusion at all levels and in all roles. Our leadership and Executive Committee are right behind us, to the extent that our Diversity Champions sit at Board level and on a monthly basis receive updates on our progress.

All applicants must have rights to work in the UK and be willing to undertake the relevant pre-employment screening checks should your application be successful.

INDLP

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