Compliance and Complaints Officer

3 days ago

Sheffield, United Kingdom Nicholas Howard Full time

We are currently recruiting for two exclusive roles for our client with a site in London and Sheffield. The positions are for a Compliance and Complaints Officer. Both roles are permanent, one being full time, the other being part time (2 days a week).

Our client’s group is a dynamic, credit orientated lending business which is backed by one of Australia’s largest investment banks and majority owned by management. The business is part of a group of businesses that include a fintech start-up, a motor finance business, and a consumer finance business.

The company primarily serves customers that fall outside mainstream lenders criteria, making it a very interesting segment to serve. Customers are generally self-employed, contract or part-time workers, recent migrants, and those with complex or irregular incomes. Loan purpose is a mix of purchase and refinance, and they write traditional, help to buy, and buy to let mortgages.

**Job Overview**:
The role is based within the Mortgage business of the group and would be reporting directly to the Chief Compliance Officer.

The role holder will undertake day to day financial crime management, compliance monitoring and complaints handling activity.

**Position Description**:
Core responsibilities
- Undertake designated financial crime management activities under the supervision of the Chief Compliance Officer (in their role as BML’s MLRO)
- Undertake Second Line of Defence Compliance monitoring activities, report your findings to line management and provide management information to the Company’s Regulatory & Compliance Committee.
- Jointly manage the vaulting of required call recordings for the Company.
- Joint responsibility for maintaining all information and correspondence relating to complaints on the Company’s Zendesk complaints database.
- Handling customer complaints effectively through to resolution; and making appropriate recommendations for a final decision on the merits of the complaint.
- Ensure adherence to the Companies’ internal complaints procedure and that appropriate complaint records are completed and maintained.
- Assist in the production of the periodic root cause analysis of complaints received and prepare findings in a periodic report to Senior Management.
- Support the Company’s Chief Compliance Officer as required.

**Skills & Requirements**

**Essential**:

- At least 1 year’s experience in an independent Quality Assurance or Compliance role and/or 1 year’s mortgage complaint handling within a FCA regulated financial institution.
- A good understanding of MCOB, DISP, and general FCA requirements, Data Protection legislation and the Financial Ombudsman Service.
- Good written and verbal communication skills.
- Good problem solving and investigative skills.
- Good organisational and administrative skills with a proven ability to prioritise tasks.
- The ability to work both on an independent basis and as a team-worker who must be able to build working relationships and interact with colleagues across the Company.
- MS Office and/or Google proficient.

**Desirable**:

- At least 2 years’ experience (or deemed equivalent) in a regulated mortgage operations role such as lending or servicing.
- An understanding of financial crime issues that face a mortgage lender.
- Experience of anti-fraud tools such as CIFAS, SIRA, Hunter and PEPs and Sanctions screening.

**Job Types**: Full-time, Part-time, Permanent

**Benefits**:

- Company events
- Company pension
- Work from home

Schedule:

- Day shift
- Monday to Friday
- No weekends

Supplemental pay types:

- Bonus scheme

Ability to commute/relocate:

- Sheffield, South Yorkshire: reliably commute or plan to relocate before starting work (required)

Work Location: One location

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