Customer Compliance Oversight Officer

2 weeks ago

London, United Kingdom Railsbank Full time

**Customer Compliance Oversight Officer**

**About Railsr**

Railsr is a leading embedded finance experience platform that enables any business to prototype, build and scale financial products. Our vision is to make finance an amazing experience for consumers and companies globally, working alongside brands and fintechs to power innovation. This is an exciting space and Railsr had one of the first digitally-native products in the FinTech platform space.

Following a period of rapid growth, followed by consolidation, Railsr is returning to growth once again and looking to develop our product capabilities and expand our customer base. It’s an exciting time and the potential for any brand to use Railsr to power and deliver their customers’ financial experiences is enormous.

**The Opportunity**

This is an exciting opportunity to join our growing Customer Onboarding and Oversight Team. We are looking for experienced individuals to help us manage our current portfolio of live customers and support our mission to continually enhance our oversight and monitoring processes, for our UK customers.

**Your Responsibilities**:

- Work closely with a senior Compliance Oversight officer to conduct monitoring and oversight activities on a portfolio of Agent/Distributors providing assurance that controls are operating effectively, while contractual and regulatory requirements are being met.
- Provide clear and concise reports on your findings, and escalate risks appropriately.
- Align with senior Compliance Oversight Officer and Head of Oversight on the Supervision tasks in relation to different levels of review or action plans prepared for Agents/Distributors depending on the risk level.
- Using your knowledge and relationship with the client, provide recommendations that are pragmatic and address the root causes of the underlying issues identified.
- Analysing data, maintaining central records, and producing reports to ensure effective compliance oversight.
- Responsible for supporting the completion of internal investigations as directed by the senior Oversight Officer of Head of Oversight ensuring they are dealt with diligently, fairly and consistently, providing accurate and full detail to allow management to fully consider the matter and make informed decisions.
- Keeping abreast of legal, regulatory, statutory, and internal requirements, as well as compliance control techniques (incident management, etc) and horizon scanning and pass on this information to your clients
- Provide input to ensure Compliance and Quality Assurance Frameworks are updated to reflect any changes to contracts, guidance or as part of compliance monitoring and/or external audit findings and improvement activities.
- Provide feedback and input on the improvement of existing Onboarding and Due Diligence processes to mitigate future risk.
- Evaluate the design, operational effectiveness and efficiency of processes, internal control systems and risk management activities.
- Act as the ‘compliance relationship point’ for your portfolio of clients.
- Present any requested control changes, restrictions of other oversight related matters concerning your clients to the Customer Committee as required

**Your Profile**

Attitude & Behaviours
- You have great interpersonal skills and are able to quickly build strong relationships with clients
- You are able to work autonomously, researching and gaining an understanding of new areas.
- Ability to interpret audit findings and communicate them in an effective manner to facilitate remediation where required.
- You have the ability to influence stakeholders to agree and drive actions to completion.
- Strong analytical mindset that can be applied to the effective use of MI tools and the subsequent interpretation of data and problem solving.
- You understand different ways of working / processes and the curiosity to challenge and improve ways of working.
- You are able to work effectively in a fast-paced environment and multitask.

Skills & Experience
- Experience of working within a vibrant and productive Compliance, Audit and Quality Assurance/Control environment.
- Understanding of UK regulations covering EMI, agents, anti-money laundering, fraud,terrorist financing, conduct, consumer duty and governance.
- Broad experience of compliance and/or audit, including risk based methodologies, risk assessment, risk,management, controls, control effectiveness, and industry good practice.
- Excellent working knowledge of FCA, and KYB/KYC requirements.
- Experience in planning and implementing compliance and/or audit action plans.

**What we can offer you**:

- **Purpose**:

- Help make amazing embedded finance experiences accessible to everyone and transform global financial services.
- **Career** - Build your career in an innovative, adventurous and inclusive environment where everyone has the opportunity to make a difference and develop their skills.
- **Reward** - Competitive remuneration package with gen

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