Risk Team Leader

3 weeks ago

Leamington Spa Warwickshire, United Kingdom Wright Hassall LLP Full time

We are currently seeking an enthusiastic compliance specialist to join our Debt Recovery team.

The Risk Team Leader is responsible for the management of regulatory risk within the Debt Recovery Unit (DRU) of the firm and for overseeing the delivery of operational compliance with all regulatory, legislative and customer service requirements. These include, but are not limited to, the requirements of the Solicitors Regulation Authority (SRA), Financial Conduct Authority (FCA), Ofcom, and Credit Services Association (CSA), as well as key legislation such as GDPR and Money Laundering Regulations.

Job Responsibilities:

The successful candidate will be responsible for managing all aspects of compliance, quality assurance, and audit within DRU.

  • Ensure all debt recovery activity is compliant with relevant legislation and perform quality and audit tests on both internal teams and external suppliers.
  • Ensure required and relevant policies for DRU are in place and communicated to the team, as well as work with the firm’s Risk and Compliance Manager to ensure firm-wide policies are also applicable for DRU.
  • Ensure all training material is compliant with legislation and work with the firm’s Training Manager in delivering training to the team, and where applicable, the wider business.
  • Maintaining the Compliance Plan for DRU and ensuring that targeted/themed audits are carried out in accordance with the plan.
  • Ensure the monthly Compliance Dashboard, and Approved Person reports for DRU and firm-wide, are delivered and highlight areas of risk.
  • Ensure all information required by the FCA is supplied within the set timescales and that Approved Persons are compliant with the obligations set by the regulator.
  • Carry out checks on new business loads including conflict checks on new matters (up to 500) against the firm’s data base.
  • Perform due diligence on new and existing suppliers and undertake onsite and remote audits.
  • Prepare and carry out client audits and due diligence requests by completing pre-audit documentation, liaising with the client on the day of the audit, and implementing remediation on recommendations made.
  • Manage the quality assurance process, including line management of the Quality & Compliance Assistant.
  • Manage our complaints process, including line management of the Complaint Officer, to ensure we are responding in the appropriate timescales and implement remedies to avoid repetition of complaint clause.
  • Maintain a register for all data protection breaches, requests for information and requests to delete information.
  • Ensure incidents that occur within DRU are properly investigated, recorded, and reported to the firm-wide Compliance Board.
  • Hold monthly sessions with Team Leaders, Managers, and agents to ensure consistency

Person Specification:

  • Proven experience of managing compliance, quality and audit processes, preferably in a collection’s environment.
  • Excellent knowledge of FCA regulations and collections industry.
  • Strong client care and communication skills and a desire to play a key role in the future of the team.
  • Ability to work both autonomously and as a team player and will have high levels of motivation.
  • Good organisational skills.
  • Be able to work in busy and fast paced professional environment.

Benefits:

We offer a competitive salary and excellent benefits package, including 25 days annual leave (rising to 30 days), pension, training and development, private medical insurance, life assurance, healthcare scheme, on-site canteen and an active social committee.

Wright Hassall values the differences and advantages that a diverse workforce brings to the firm, and is committed to ensuring that all applicants are valued as individuals and treated with respect and fairness.

We are a 2024 Circle Back Initiative Employer – we commit to respond to every applicant.

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