Risk and Compliance Officer

4 weeks ago

Lancashire, United Kingdom Ultimate Banking Ltd Full time

Our client is a customer focussed, mortgage and savings provider who are seeking a Risk and Compliance Officer to join their Risk and Compliance Team.

Whilst our clients head office is based in Lancashire, they currently operate a hybrid approach to the working week. Currently, their head office is being completely refurbished and all employees go in once a month. Once the full refurbishment has been completed(no completion date yet), they would like individuals to go in once a week.

The Risk & Compliance Officer has responsibility for advising and supporting the organisation to carry out its regulatory obligations and ensuring good customer outcomes are delivered. The role sits within the Risk & Compliance Function which acts as thesecond line of defence in the 'three lines of defence model’ and is responsible for advising, overseeing, monitoring and challenging the organisations compliance with relevant regulatory requirements.

This role holder will be involved in Compliance Support, Regulatory Change, Compliance Monitoring and Fraud. Some duties of the role are:

- Provide timely, clear and pragmatic regulatory risk advice and support to the business.
- Identify all emerging conduct and prudential legislation, regulation and industry guidance relevant to the company
- Assist the Head of Compliance with the development of the annual Compliance Monitoring Plan (CMP)
- review and respond to the Financial Ombudsman Service (FOS) following referral of second stage complaints.
- Track the progress and status of all internal audit and external audit actions and, under the oversight of the Head of Compliance, and assist with the validation of the status and implementation of the actions.
- Being aware of the risks of fraud, money laundering and terrorist financing, the relevant policies and procedures and your obligations

Our client is seeking an individual who has the following:

- Experience in a 2LOD role within financial services
- Good understanding of the regulatory environment within financial services
- A strong desirable would be experience in the mortgage space

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