Senior Compliance Analyst

5 days ago

Kent, United Kingdom Cabot Financial Full time

Are you looking for your next Compliance career step or currently a Senior Compliance Monitoring Analyst?


Do you have a good understanding of Financial Conduct Authority (FCA) as a regulator, Subject Matter Expert in the Debt Collection industry and the regulatory framework which governs it?


An ability to produce complex reports?


Do you want to have the opportunity to engage with Senior Stakeholders on a regular basis?


If you have answered yes, then you could be the right person to join our compliance team in this key role.

Our preferred office location is at Cabot Financial in West Malling, Kent ME19 4UA, however we offer location flexibility for the right candidate. This is an exciting opportunity to join an engaging, collaborative, productive and fun team.


  • Competitive salary up to £48,500 *based on experience.
  • Permanent opportunity & bonus scheme.
  • Excellent company benefits including private health insurance, plus much more.


Responsibilities:

  • Provide assurance over regulatory risk management to the business through delivery of effective monitoring and analysis of operational functions.
  • Support the 1st line’s understanding of compliance responsibilities, including by making recommendations for changes.
  • Deliver monitoring of regulated activities against relevant rules and regulations, as part of the annual compliance monitoring plan
  • Support an environment of continual improvement, working closely with peers and colleagues from across the business.
  • Contribute to the planning stage of monitoring activities and the design of the annual compliance monitoring plan.
  • Conduct comprehensive assessments of real customer journeys against relevant regulation, legislation and industry standards, including whether a good customer outcome has been delivered.
  • Supporting and conducting complex thematic reviews as part of the programmes
  • Managing the production, delivery and completion of the compliance monitoring programmes within timescales and scope.
  • Draft reports to Senior Management relevant to reviews
  • Responsible for the delivery of fully maintained work programmes, customer journeys and testing documents which support the final report, plus evidence of action closure.
  • Ensure delivery of all reports within the timescales detailed within the Compliance Monitoring Plan schedule.
  • Maintain full and accurate electronic compliance monitoring folders which include final signed off ToRs, draft and final reports and evidence of distribution.
  • Monitor the implementation of actions agreed in response to compliance recommendations, ensuring appropriate records are kept.
  • Review regular monitoring output and report on any issues to relevant stakeholders.
  • Responsible for the completion of monthly recommendation/action reporting
  • Provide Management Information and overviews to the wider business detailing the output of work undertaken and trends identified.
  • Provide input into the creation and maintenance of the annual compliance monitoring plan.


We are looking for someone with:

  • A good understanding of Financial Conduct Authority (FCA) as a regulator
  • Subject Matter Expert in the Debt Collection industry and the regulatory framework which governs it.
  • People management and leadership skills
  • An interest in compliance monitoring
  • A highly organised individual with experience of working to deadlines in a changing environment.
  • Excellent analytical and problem-solving skills.
  • Ability to communicate effectively at all levels within the business, both verbally and in writing
  • Outstanding attention to detail and accuracy
  • Ability to identify risk and recommend actions to mitigate risks identified.
  • Ability to work independently with a flexible and adaptable approach.
  • Customer focused with ability to develop and maintain effective business relationships.
  • A proven track record of building and developing effective working relationships.
  • Strong written and verbal communication skills with the ability to influence at all levels.
  • Previous experience in a conduct risk, compliance monitoring and / or call quality role
  • Sound IT skills – specifically Microsoft office, excel and PowerPoint

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