Compliance & Audit Officer

2 weeks ago

Manchester, United Kingdom Phillips & Cohen Full time

You will work within our busy and well-established Compliance Department, whose primary function is to be the 2nd Line of Defence in the three lines of defence model and to help identify and mitigate risks and improve quality across the business.
Working in a compliance driven Call Centre environment and working closely with the Head of Compliance - Europe, the Compliance and Audit Officer will be responsible for a range of duties.
Compliance and Audit Officer Responsibilities:

- Coordinate, undertake and assist with the management and oversight of 2nd line internal audits, including:

- maintaining and keeping updated the internal audit log
- undertaking the required internal audits in a timely manner
- reporting the outcomes of audits in a detailed written report that is suitable to be shared with the Board
- recording remedial actions
- ensuring remedial actions are followed up in a timely manner
- providing feedback, coaching and recommendations for policy / process change to relevant managers following each audit.
- Maintain and keep updated the compliance monitoring programme
- Attend internal audit meetings as required and to communicate findings of audits with key internal stakeholders
- Coordinate, undertake and assist with the management and oversight of client case reviews
- Undertake and coordinate audits and compliance reviews of third party suppliers including writing the audit report and ensuring remedial actions are managed
- Assist with the training and development of colleagues on a range of compliance topics to include producing and delivering compliance related training and providing developmental feedback and coaching where required.
- As and when required, to coordinate, undertake and assist with the management and oversight of complaints including undertaking investigations, logging, referring, investigating, responding to the complainant and reviewing complaints undertaken by other colleagueswithin the Compliance team and providing feedback where relevant.
- Assist with the review and verification and to undertake where required, the weekly complaints report and circulate to the key internal stakeholders
- Coordinate, undertake and assist with writing reports and organising remedial actions from 2nd line reviews, customer journey reviews and complaint investigations
- Act in a proactive manner to identify regulatory developments and to assist the Head of Compliance - Europe to ensure the business is in a strong position to react to regulatory developments.
- Undertake weekly and quarterly root cause analysis and writing the detailed report in a timely manner to a standard that is suitable for sharing with the Board.
- Complete and analysing the information within TCF dashboards and reporting data and trends.
- Compile compliance / regulatory reports for internal and external stakeholders on an ad-hoc basis.
- Conduct trend analysis of compliance related issues.
- Attend client audits to discuss results of internal audit findings, client case review results and compliance trends.
- Support the business with regulatory questions and queries as they arise
- Support the Head of Compliance through undertaking a wide range and variety of project-based work which will change from time to time including Risk Management, Change Management, Policy reviews and Management, Data Protection adherence, Anti-Money Launderingadherence, Compliance Monitoring and 2nd line audits.
Compliance and Audit Officer Requirements:

- Possessing a relevant Compliance qualification, be working towards one or having relevant industry knowledge.
- A minimum of 3 years’ experience gained in a similar role within financial services.
- Ability to understand and fully comply with documented processes and procedures.
Other Skills, Knowledge and Abilities
- Ability to remain professional and make impartial and consistent decisions
- Ability to develop good working relationships with colleagues, clients, management and a number of other key stakeholders
- Clear and concise written and spoken communication skills
- Flexible and ability to prioritise workload according to challenging deadlines
- Ability to work well under pressure in a highly regulated environment
- Ability to provide and receive constructive feedback
- Ability to engage with stakeholders at all levels
- Analyse information, conduct trend analysis and report findings
- A compassionate and mature approach
- Ability to make confident decisions
- Great attention to detail
- Excellent communication skills, both written and verbal.
What's in it for you?
- Secure reserved car parking space and excellent transport links
- 31 days holidays per year including 8 bank holidays
- Healthcare Scheme*
- Company pension plan*
- Life Assurance*
- Salary Sacrifice Schemes such as Cycle to Work and Electric Car Scheme
- Various discounts and other incentives*
*Qualifying period applies
**Location**: Manchester
**Contract Type**: Permanent
**Hours**: Full Time, 37.5 per week
**Salary**: £30,000 - £35,000 per annum plus benefits
You may have experience of the following: Compliance Officer, Financial Services, Legislation, Regulation, FCA, AML, Policy Officer, Compliance, Audit Officer, Compliance Assistant, Equity, Risk, Auditor, Audit, Auditing, etc.
REF-201 395

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