Compliance Monitoring Officer

2 days ago

Manchester, United Kingdom Ascent Performance Group Ltd Full time

A bit about Ascent

At Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our clients.


Ascent Performance Group are a highly successful legal and financial services company; we work with other large financial service companies to support individuals during uncertain times. If you want to join an agile, successful and well-established organisation, with a proven track record of colleague development and internal promotions, look no further than Ascent.


We live by our five core values:

  • Be pioneering
  • Be approachable and caring
  • Be tenacious
  • Be efficient
  • Show integrity


Be Part of our team

This role’s primary objective is to conduct Second Line of Defence (SLOD), activities, which are covered by several components of internal governance (compliance, risk management, quality, IT and other control departments). You will monitor and facilitate the implementation of effective risk management practices by operational management and assist the business in reporting adequate risk related information up and down the organisation.


What will your day look like?

Second Line of Defence

  • Through a risk-based approach, provide assurance to the Ascent board of directors and senior management on how effectively the business assesses and manages its risks including assurance on the effectiveness of the first of defence.
  • Conduct process checks, call reviews and end to end reviews assessing the impact of business activity from the customers, client, legal and regulatory perspective.
  • Compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrence.

Internal audit

  • Conduct audits on key policies to assess the adherence of business activity.
  • Compile data to identify trends and instigate corrective actions as appropriate to prevent future occurrence of any issues identified.
  • Complete annual internal audits in line with the agreed schedule.

Risk Management

  • Support the business by liaising with staff on potential risk areas and assist in the implementation of preventative measures for accepted risk areas.


Other Duties

  • Assist with the management and production of Customer Data Subject Access Requests.
  • Host internal call calibration sessions and attend client calibration sessions.
  • Keep up to date with relevant regulatory changes, along with internal business developments to ensure that all compliance monitoring activities remain valid.
  • Attend, as required, relevant external workshops/meetings to maintain awareness of developments in compliance monitoring and risk management techniques.


Our Candidate Requirements

We expect you to be:

  • Familiar with financial services regulatory guidelines and best practices, with an eagerness to learn more.
  • Demonstrate integrity and be a customer experience champion with a strong emphasis on continuous improvement.


Knowledge, skills & experience

Essential

  • Educated to Degree level.
  • Previous experience within financial services in a 1st or 2nd Line of Defence role.
  • Good understanding of operational risks and how these can be mitigated.
  • Delivery focused, with proven track record of delivering on expectations.
  • Ability to manage multiple concurrent assignments of varying scope and complexity in a cross-functional environment.
  • Confident, self-starter with the ability to work with minimal supervision.
  • Strong interpersonal, verbal, and written communication skills and attention to detail.
  • Takes initiative, accepts challenges, grows business acumen, and establishes/sustains internal/external networks.
  • and relationships in a complex organisational environment.
  • Acts with integrity and holding oneself accountable for their remit.

Desirable

  • Experience/ knowledge of consumer and commercial debt recovery processes and strategies.
  • Solid understanding of CPR and MCOB rules.
  • Solid understanding of FCA regulatory requirements including SMCR and Consumer Duty.
  • Robust risk and control, governance, and/or compliance experience gained in 1st or 2nd Line of Defence roles.


What we offer you

  • Hybrid working model (Following initial Training period*)
  • Company Pension Scheme
  • 22 days holiday, plus bank holidays (We have a buying holiday scheme that allows you to buy additional holidays during the annual holiday year)
  • Health cash plan
  • Critical illness cover
  • Discounted legal services
  • Season ticket loans
  • Discounted online shopping
  • Discounted gym memberships
  • Cycle to work


Further Information

As part of the Ascent on-boarding process all successful applicants are required to complete the group’s employment screening process. This process helps to ensure that all new employees meet our standards in relation to honesty and integrity therefore protecting the interests of the Group, existing employees, clients, partners and other stakeholders.

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