Compliance Lead

2 weeks ago


United Kingdom Three Full time

The purpose of this role is to provide independent challenge, oversight and practical guidance to Three’s first line business areas with regards to the operation of its financial services products. You will sit in Three’s 2nd line financial services compliance team, and play a key role in the delivery of the monitoring plan and wider compliance programme. This will include both conducting formal compliance reviews in line with Three’s monitoring plan and involve working with the business to identify financial services-related compliance and conduct risks faced, and provide guidance into the design and implementation of controls.

Job Description

Your role will involve:
• Provide expert and practical regulatory guidance, support and independent challenge to Three’s first line of defence in relation to its financial services products’ systems, policies, processes and controls. This will include acting as compliance SME on special projects and representing compliance within relevant governance fora;
• Design and lead formal compliance reviews and carry out testing in accordance with Three’s monitoring plan and compliance programme. This will include evaluating control effectiveness, documenting clear findings and making pragmatic recommendations;
• Support with the identification of regulatory and conduct risks, and provide guidance to Three’s first line of defence on appropriate controls to manage those risks within appetite and regulatory requirements;
• Analyse and interpret conduct risk and compliance MI to enable a data-led and risk-based approach to your work, sharing insights and perspectives on how to improve and adapt Three’s compliance programme and monitoring plan, as necessary;
• Provide support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and customer remediation;
• Support with the development and review of key compliance policies, processes and training materials;
• Produce timely and accurate compliance reporting for internal and external stakeholders;
• Drive education and awareness of compliance, conduct and regulatory risk management good practices across the organisation. Delivering training sessions where required;
• Work closely with colleagues in legal and compliance to ensure a holistic approach to guidance, support and challenge; and
• Maintain a deep understanding of UK financial services regulation, consumer credit practices and upcoming regulatory changes impacting our business.

Qualifications

Skills Required
• Experienced financial services compliance professional specialising in consumer credit. Strong knowledge of CONC, SYSC and DISP is essential;
• You’ll have and maintain a deep understanding of UK financial services regulation, be skilled at explaining requirements in straightforward/ practical terms and provide pragmatic and proportionate guidance on appropriate systems and controls to mitigate any regulatory/ conduct risks arising;
• A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes across a consumer credit product lifecycle;
• Experienced in leading on the design and delivery of formal compliance reviews. You’ll have excellent planning, report writing and stakeholder management skills;
• Experienced in evaluating policies, procedures, processes and internal controls, and their effectiveness;
• Experienced in drafting compliance owned policies;
• Experience in overseeing compliance issue management and remediation activities, and understanding appropriate root cause analysis practices;


What you'll receive in return…

  • Competitive annual salary, car allowance, a performance based annual bonus & an additional 'flexible allowance' to spend on additional benefits, topping up your pension, or to be added to your salary.
  • Hybrid working between your home (2-3 days a week) and our brand new Reading HQ office at Green Park (2-3 days a week)
  • 28 days annual leave + 8 bank holidays + 3 personal days annually, which increases with length of service.
  • Private Medical Insurance, Life Assurance and Income Protection.
  • Free on-site car parking (including electric)
  • Plus lots more including wellbeing and learning & development benefits

#KF-1

Additional Information

Our people make us who we are. We’re a diverse and inclusive bunch, and it’s important you can feel you belong here. We value everybody for who they are and what they bring to the table, supporting one another as we continue to deliver for our customers.

At Three we have a hybrid working arrangement in place as standard for office based employees, where employees work from a mix of office based location and working from their home in the UK to carry on their role.

Excluding retail, core hours at Three are between 10:00 and 16:00, with operating hours between 08:00 & 18:30. This allows employees to have a start time between 08:00 and 10:00 and finish time between 16:00 and 18:30. #J-18808-Ljbffr
  • Pensions Technical

    2 weeks ago


    United Kingdom Compliance Professionals Full time

    Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. Managing and reporting on regulatory projects, including advising on and supporting the business in implementing...


  • United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: Managing and reporting on regulatory projects, including advising on and supporting the...

  • Compliance Associate

    3 weeks ago


    United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading global investment manager, with £billions in AUM. THE RESPONSIBILITIES: Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence,...

  • Compliance Lawyer

    1 week ago


    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified lawyer with a passion for compliance? Do you have experience gained at an international law firm? We have a fantastic opportunity with a leading international US law firm who are looking for an experienced Compliance Lawyer to join their London office. In this role, you will report to the Senior Compliance Council and advise on a broad...

  • Compliance Lawyer

    1 week ago


    United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified lawyer with a passion for compliance? Do you have experience gained at an international law firm? We have a fantastic opportunity with a leading international US law firm who are looking for an experienced Compliance Lawyer to join their London office. In this role, you will report to the Senior Compliance Council and advise on a broad...


  • United Kingdom AJ FOX COMPLIANCE Full time

    Our client is a leading national law firm looking for a qualified lawyer with prior experience in risk & compliance or within a private practice to join their lovely and supportive team. This role would be well-suited for someone already with law firm Risk & Compliance experience, a fee earner looking to transition into compliance, or perhaps someone...


  • United Kingdom AJ FOX COMPLIANCE Full time

    We have a great, new opportunity for a lawyer interested in a role with flexibility, minimal pressure and many opportunities to learn. Our client is a leading national law firm looking for a qualified lawyer with prior experience in risk & compliance or within a private practice to join their lovely and supportive team. This role would be well-suited for...

  • Compliance Lead

    6 days ago


    United Kingdom Platinum Recruitment Consultancy Full time

    Compliance Lead Brighton About our client Platinum Recruitment is working with a state-of-the-art private hospital located in the seaside town of Brighton that has a unique setup of a private hospital with an acute psychiatric rehabilitation floor and a care home set up for the nursing and residential floors. Working as a Compliance Lead for our client...

  • Compliance Lead

    6 days ago


    United Kingdom Kraken Full time

    Work with the brightest talent in Web3 across a wide array of industries Our Krakenites are a world-class team with crypto conviction, united by our desire to discover and unlock the potential of crypto and blockchain technology. What makes us different? Kraken is a mission-focused company rooted in crypto values. As a Krakenite, you’ll join us on our...

  • Compliance Lead

    1 day ago


    United Kingdom Kraken Full time

    Work with the brightest talent in Web3 across a wide array of industries Our Krakenites are a world-class team with crypto conviction, united by our desire to discover and unlock the potential of crypto and blockchain technology. What makes us different? Kraken is a mission-focused company rooted in crypto values. As a Krakenite, you’ll join us on our...


  • United Kingdom Multiplier Technologies Pte. Ltd. Full time

    A Bit About Us We’re at the forefront of one of the most exciting evolutions of our generation - remote staffing. No longer do employers have to hire according to geography, and no longer do employees have to worry about proximity to work and daily commutes. Today, companies can hire the best talent they can find, anywhere in the world. But they need...


  • United Kingdom Avalere Health Full time

    About Avalere Health Established in 2001, Avalere Health is a purposefully built commercialization partner for the biopharmaceutical, medical technology, and wellness industries. Our 1,500+ experts combine their knowledge and expertise across our core disciplines — Consulting; Medical; Policy; Value, Evidence, and Access; Marketing; and Digital...


  • United Kingdom Avalere Health Full time

    About Avalere Health Established in 2001, Avalere Health is a purposefully built commercialization partner for the biopharmaceutical, medical technology, and wellness industries. Our 1,500+ experts combine their knowledge and expertise across our core disciplines — Consulting; Medical; Policy; Value, Evidence, and Access; Marketing; and Digital...


  • United Kingdom TPP Recruitment Full time

    Are you committed to setting and maintaining the highest standards in assessment and qualification? Do you have experience writing standardisation materials, qualifications or developing assessments? Are you passionate about ensuring standards excellence in education and assessment? TPP are recruiting a Compliance Standards Lead on behalf of our client, a...


  • United Kingdom TPP Recruitment Full time

    Are you committed to setting and maintaining the highest standards in assessment and qualification? Do you have experience writing standardisation materials, qualifications or developing assessments? Are you passionate about ensuring standards excellence in education and assessment? TPP are recruiting a Compliance Standards Lead on behalf of our client, a...

  • Asset Compliance Lead

    22 hours ago


    United Kingdom E.ON Gruppe Full time €49,995 - €63,832

    We need everyone's positive energy and innovative thinking to lead the energy transition to net zero. That's why we welcome applications from all backgrounds and experiences and have a range of flexible working options to suit everyone! Asset Compliance Lead Here's what you'll be doing Location – Hybrid working based in Nottingham or Coventry...

  • Asset Compliance Lead

    23 hours ago


    United Kingdom E.ON Gruppe Full time €49,995 - €63,832

    We need everyone's positive energy and innovative thinking to lead the energy transition to net zero. That's why we welcome applications from all backgrounds and experiences and have a range of flexible working options to suit everyone! Asset Compliance Lead Here's what you'll be doing Location – Hybrid working based in Nottingham or Coventry...

  • Compliance Lead

    3 weeks ago


    United Kingdom Project People Full time

    Compliance Lead - Data Protection (DPIA) Reading| Hybrid 6 Month - Day Rate Contract - Inside IR35 You must be available to start asap You must be eligible to work in the UK without the need for Sponsorship Join this Well Established Brand based in Reading, UK. As part of the Data Protection team, the Compliance lead – Data Protection, will provide...

  • Compliance Lead

    2 days ago


    United Kingdom WeAreTechWomen Full time

    Our people make us who we are. We’re a diverse and inclusive bunch, and it’s important you can feel you belong here. We value everybody for who they are and what they bring to the table, supporting one another as we continue to deliver for our customers. At Three we have a hybrid working arrangement in place as standard for office based employees,...

  • Compliance Lead

    5 days ago


    United Kingdom WeAreTechWomen Full time

    Our people make us who we are. We’re a diverse and inclusive bunch, and it’s important you can feel you belong here. We value everybody for who they are and what they bring to the table, supporting one another as we continue to deliver for our customers. At Three we have a hybrid working arrangement in place as standard for office based employees,...