Compliance Analyst
3 weeks ago
My client is an established and entrepreneurial real estate lender. They are expanding their compliance team and seeking a QA Analyst.
Overview
The Quality Assurance Analyst is responsible for providing pre and post completion loan reviews along with call monitoring. The purpose is to provide Quality Assurance checks against internal and regulatory policies and procedures in line with the agreed frameworks.
Responsibilities
- Ensure that the business policies and procedures and regulatory obligations are implemented in accordance with regulatory standards and industry best practice
- Monitor compliance with the relevant business covenants and associated policies designed to ensure that the business identifies and manages risks appropriately (including, financials, vulnerable customers, forbearance etc)
- Provide updates to line manager regarding trends and recommending improvements to processes and controls to address any issues
- Provide quality assurance of the relevant business functions to ensure adherence to all relevant policies and procedures
- Provide verbal and written feedback to colleagues delivering both regulated and unregulated loans in line with MCOB and MCD rules
- Managing the remediation of audit findings Requirements
- Proactively identify process improvements/issues before they impact service
- Produce MI and present analysis for management and committees
- Monitor and manage workflow queues to ensure Service Level Agreement's (SLA’s) are met and ensure quality standards are regularly tested and maintained
- Reporting data to the Financial Conduct Authority (FCA)
- Assisting with day-to-day compliance related queries on an ad hoc basis
What you will Bring
- Compliance experience within a Financial Services firm with property lending products (2+ years desirable)
- Ability to form effective relationships with Key Stakeholders that create value added results
- Excellent attention to detail
- Good organisational skills
- Strong verbal and written communication skills
- Ability to prioritise tasks
- Strong analytical skills
- Ability to interpret data and present it in an easy-to-understand manner
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