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 assists the risk owners 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 and end to end reviews assessing the impact of business activity from the customers and client perspective.
  • Compile data on this aspect 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.
  • Hold 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 well-versed in regulatory guidelines and corporate governance best practices and ensuring that our business is a customer experience champion, that we are listening to and acting responsively to customer feedback via complaints or any other media. There is strong emphasis on continuous improvement; specifically aimed at increasing customer satisfaction.

Knowledge, skills & experience

Essential

  • Educated to Degree level and previous experience within financial services.
  • Robust risk and control, governance, and/or compliance experience gained in the 1st or 2nd Line of Defence roles.
  • Good understanding of operational risk tools, control frameworks
  • Solid understanding of the SMCR regulatory requirements
  • 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

What we offer you

  • Hybrid working
  • A Competitive benefits package including:
  • 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.

  • Compliance Monitoring Officer

    2 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: A new opportunity has become available within the compliance team at our Manchester office for a Compliance Monitoring Officer. This is a fantastic opportunity to join one of the UK's fastest growing investment platform businesses where you can expand on your existing skills and continue to build a successful career. Supporting the Risk...

  • Compliance Monitoring Officer

    3 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Compliance Monitoring Officer

    3 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Compliance Monitoring Officer

    3 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your career? An exciting opportunity has arisen to join the AJ Bell Compliance Monitoring team. This will help further your career in a regulatory environment within financial services and provide exposure to all areas of Risk & Compliance. We are looking for someone with...

  • Compliance Monitoring Officer

    3 months ago

    Greater Manchester, United Kingdom Willow Resourcing Full time

    Looking for a great developmental Compliance Monitoring opportunity with a high degree of flexible working? That’s what’s on offer here. You’ll get to work for a great Head of Compliance with a proven track record of developing their teams. And you’ll only be required to go into the office once a week, with the other 4 days working from...

  • Internal - Compliance Monitoring Officer

    3 months ago

    Manchester, United Kingdom AJ Bell Full time

    **Job Description**: Do you want to take the next challenging and rewarding step in your AJ Bell career? An exciting opportunity has arisen to join the Compliance Monitoring team where full training will be provided. This will enable you to develop a career in a regulatory environment within financial services and provide exposure to all areas of Risk &...

  • Compliance Monitoring Officer

    7 days ago

    Manchester, United Kingdom MERJE Full time

    Job SummaryA leading wealth management firm, with a strong presence in the UK, is seeking a Compliance Monitoring Officer to join its newly formed European compliance team. The successful candidate will play a key role in delivering the firm's compliance monitoring programme, ensuring timely completion of assigned tasks.Key ResponsibilitiesCompliance...

  • Compliance Expert

    10 hours ago

    Manchester, United Kingdom Teal Compliance Full time

    At Teal Compliance, we're passionate about compliance in legal services. Our mission is to protect clients and staff in professional services. We're seeking a Compliance Analyst to join our dynamic team in a challenging environment. This role will be primarily home-based with travel to our office. As a Compliance Analyst, you'll have at least 2 years'...

  • Compliance Expert

    7 hours ago

    Manchester, United Kingdom Teal Compliance Full time

    At Teal Compliance, we're passionate about compliance in legal services. Our mission is to protect clients and staff in professional services. We're seeking a Compliance Analyst to join our dynamic team in a challenging environment. This role will be primarily home-based with travel to our office. As a Compliance Analyst, you'll have at least 2 years'...

  • Compliance Monitoring Officer

    1 day ago

    Manchester, United Kingdom IDEX Consulting Ltd Full time £40,000 - £45,000

    Job Title: Compliance Monitoring Officer - Financial ServicesJob Summary:IDEX Consulting Ltd is seeking a highly skilled Compliance Monitoring Officer to join their team. As a Compliance Monitoring Officer, you will be responsible for providing a file review service to the clients of the business, mainly medium to large financial services businesses.Main...

  • Compliance Monitoring Officer

    1 day ago

    Manchester, United Kingdom IDEX Consulting Ltd Full time £40,000 - £45,000

    Job Title: Compliance Monitoring Officer - Financial ServicesJob Summary:IDEX Consulting Ltd is seeking a highly skilled Compliance Monitoring Officer to join their team. As a Compliance Monitoring Officer, you will be responsible for providing a file review service to the clients of the business, mainly medium to large financial services businesses.Main...

  • Compliance and Monitoring Officer

    4 days ago

    Manchester, United Kingdom IDEX Consulting Full time

    Job Description**Compliance and Monitoring Officer Role**We are seeking a highly skilled Compliance and Monitoring Officer to join our team at IDEX Consulting. As a Compliance and Monitoring Officer, you will play a critical role in ensuring our clients' compliance with regulatory requirements and industry standards.Key Responsibilities**Client File Review...

  • Compliance and Monitoring Officer

    3 days ago

    Manchester, United Kingdom IDEX Consulting Full time

    Job Description**Compliance and Monitoring Officer Role**We are seeking a highly skilled Compliance and Monitoring Officer to join our team at IDEX Consulting. As a Compliance and Monitoring Officer, you will play a critical role in ensuring our clients' compliance with regulatory requirements and industry standards.Key Responsibilities**Client File Review...

  • Compliance Monitoring Officer

    2 days ago

    Manchester, United Kingdom IDEX Consulting Ltd Full time £40,000 - £45,000

    About the Role:We are seeking a highly skilled Compliance Monitoring Officer to join our team at IDEX Consulting Ltd. As a Compliance Monitoring Officer, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Provide a file review service to our clients, focusing on medium to large financial...

  • Compliance Monitoring Officer

    2 days ago

    Manchester, United Kingdom IDEX Consulting Ltd Full time £40,000 - £45,000

    About the Role:We are seeking a highly skilled Compliance Monitoring Officer to join our team at IDEX Consulting Ltd. As a Compliance Monitoring Officer, you will play a critical role in ensuring our clients' compliance with regulatory requirements.Key Responsibilities:Provide a file review service to our clients, focusing on medium to large financial...

  • Compliance Monitoring Officer-French

    3 weeks ago

    Manchester, United Kingdom MERJE Full time

    Role Overview & Purpose A leading wealth management firm, with office locations across the UK, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the firm’s compliance monitoring programme, delivering the monitoring tests assigned to them on time.This...

  • Compliance Monitoring Officer-French

    3 weeks ago

    Manchester,, Greater Manchester, United Kingdom MERJE Full time

    Role Overview & Purpose A leading wealth management firm, with office locations across the UK, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the firm’s compliance monitoring programme, delivering the monitoring tests assigned to them on time.This...

  • Compliance Monitoring Officer-French

    2 weeks ago

    Manchester, United Kingdom MERJE Full time

    Role Overview & Purpose A leading wealth management firm, with office locations across the UK, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the firm’s compliance monitoring programme, delivering the monitoring tests assigned to them on time. ...

  • Compliance Monitoring Officer-French

    3 weeks ago

    Manchester, United Kingdom MERJE Full time

    Role Overview & Purpose A leading wealth management firm, with office locations across the UK, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the firm’s compliance monitoring programme, delivering the monitoring tests assigned to them on time. ...

  • Compliance Monitoring Officer-French

    1 week ago

    Manchester, United Kingdom MERJE Full time

    Role Overview & Purpose Find out if this opportunity is a good fit by reading all of the information that follows below.A leading wealth management firm, with office locations across the UK, is seeking a Compliance Monitoring Officer to join a newly formed European compliance team. The successful candidate will fully contribute to the delivery of the...