Legal Risk and Compliance Officer
1 week ago
Job Description Job Title – Compliance Officer
Benefits - Gym membership discounts, Private dental insurance, Private medical insurance, Store discounts, Wellness programmes, a day off for your Birthday, a supportive, flexible employer
The Compliance Guys are a fast-growing business bringing a refreshing outlook to FCA compliance. We treat our staff with respect, we focus on great processes to enable efficient work and we communicate with our clients in an informal and positive manner so that they want to engage in compliance and are not scared into action.
Do you want to make a difference to multiple small businesses and even a whole industry? This is not your typical boring compliance role where you’re battling against non-compliance. Do you have experience of UK consumer credit and have a passion for creating compliant processes and policies that really help small businesses to flourish and help their customers?
We are looking for a passionate compliance officer to bolster our growing team who structure applications for small credit broker firms and support their businesses ongoing. Our #CaringNotScaring approach to compliance means a friendly and informal relationship with internal colleagues and amazing feedback from our clients.
Create bespoke policies and procedures to ensure all processes within a new applicant firm are covered and that the processes meet FCA regulation so they can be submitted with their Full Permission FCA Application.
any non-compliance within the business to the Head of Compliance so that process improvements can be made.
up to date with industry and FCA communications and regulatory updates to ensure knowledge is up to date, enabling you to complete the required responsibilities and tasks within your Job Description to a high standard.
Assist with the delivery of all key reports to be delivered under TCG’s Compliance Monitoring Plan.
Assist with investigations into complaints, incidents and rule breaches.
Assist with Horizon Scanning for any regulatory changes or updates to the regulations and reporting to the Head of Compliance and Directors.
Quality Assurance assessment and oversight for clients
Attention to detail: all work must be completed with the focus on quality;
Understanding: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice;
Recent and relevant experience working in a Consumer Credit Firm (Credit Broker or Lender) regulated by the FCA, either in a Compliance or Legal function.
Broad base of Compliance understanding
Numerate, articulate, analytical and competent with all Microsoft Packages.
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