Compliance and Complaints Officer

2 weeks 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 financebusiness, 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 irregularincomes. 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.

  • Complaint Handler

    6 days ago

    Sheffield, United Kingdom Capita Full time

    The main purpose of the Complaint Handler roles is to investigate and resolve both customer queries and complaints, utilising a number of systems simultaneously and liaising with client support areas to ensure the best experience for our clients. This role offers the chance to deal with exciting products and speak to high net-worth individuals, supporting...

  • Compliance Officer

    3 weeks ago

    Sheffield, United Kingdom First Customer Contact Ltd Full time

    **Who are we?** First Rail is one of the UK's most experienced rail operators, carrying more than 345m passengers across Three franchises (Great Western Railway, South Western Railway, and Avanti West Coast) and our open access operators (Hull Trains and Lumo). We operate all types of passenger railways - intercity, commuter, regional and sleeper...

  • Compliance Officer

    2 weeks ago

    Sheffield, United Kingdom Clayton Davies Full time

    Our client, a successful Investment Management firm, are looking for an experienced Compliance Officer to join the team to lead, oversee and manage the day to day compliance and operational aspects of their investment management business unit and platform offering, ensuring issues and risks of a compliance and regulatory nature are appropriately managed.Key...

  • Liaison Officer Liaison Officer

    2 weeks ago

    Sheffield, United Kingdom Fawkes and Reece Full time

    00 per Hour Contract: Long Term Contract Type: Full Time Resident Liaison Officer required to join the team of a large Plumbing sub-contractor who are working on live sites in Halifax, Sheffield and Leeds. To manage and provide consultation and support to residents prior to, during and after works to their homes, ensuring consistently high levels...

  • Corporate Feedback and Complaints Manager

    3 weeks ago

    Sheffield, United Kingdom Voluntary Action Sheffield Full time

    Corporate Feedback and Complaints Manager Category Managerial Organisation Social Work England Job Description Social Work England are the specialist regulator for social work in England, focused on enabling positive change in social work. Every day, social workers support millions of people to improve their chances in life. We are taking a new...

  • Site Compliance Officer

    5 days ago

    Sheffield, United Kingdom Fletchers Waste Management Full time

    Fletchers Waste Management (part of the Beauparc Group) and an Investors in People employer is an established waste and recycling business based in Sheffield. We are looking to recruit a motivated Site Compliance Officer to assist our national team with site and supplier audits. Duties to include (but not limited to): Ø Conducting regular client site...

  • Safeguarding & Compliance Officer

    7 days ago

    Sheffield, United Kingdom Sheffield Wednesday FC Community Programme Full time

    **Closing date**: Friday 28th April 2023: 5.00pm **Interviews held on**: W/C: 8th May 2023 **The Role**: To pro-actively work with staff, parents/guardians and participants to provide joint monitoring and planning of safeguarding arrangements. Liaising with external agencies (schools, children's services etc) and being the point of contact for stakeholders...

  • Exams and Compliance Officer

    5 days ago

    Sheffield, United Kingdom Protocol Full time

    Protocol are delighted to be recruiting for a SEND Exams and Compliance Officer on behalf of an Educational establishment within the Sheffield area with potential hybrid working. Fixed Term contract until June with potential extension and permanent work. Full-time or Part-Time **Salary**: £11.00 - £13.00ph Ideally you will have an Enhanced DBS on the...

  • Syp - Complaints, Conduct and Investigations Team

    2 weeks ago

    Sheffield, United Kingdom South Yorkshire Police Full time

    **Department**:Professional Standards Department** **Location**:Churchill Way, Sheffield** **Salary: £27,918 - £31,695** **Hours: 37 hours per week** **Contract Type: Permanent** **Role Purpose**: To work as part of a team within the Professional Standards Department. To assist with the investigation and administration of complaints made against...

  • Pals Officer

    5 days ago

    Sheffield, United Kingdom Sheffield Teaching Hospitals NHS Foundation Trust Full time

    You will be working in a busy, vibrant and friendly atmosphere in a close-knit team. You must be supportive not only to patients but also to your colleagues. The workload is varied and rewarding and you will work alongside a team that is dedicated to everyone who contacts them to get the best experience and outcomes. Please view the attached Job Description...

  • Compliance Electrician

    5 days ago

    Sheffield, United Kingdom SER (Staffing) Ltd Full time

    **Position: Compliance Electrician/ Manager** **Location: Sheffield** **Duration: Permanent** **Salary: From £40,000 to £42,000 plus package** We are looking for an experienced Commercial Electrician to join a very well established company as a Compliance Person This company deals with some major blue chip clients such as Tesco and Sainsburys, dealing...

  • Compliance & Resourcing Officer

    4 weeks ago

    Sheffield, United Kingdom The Supply Register Ltd Full time

    ** The Supply Register are expanding their Yorkshire team!! **About The Supply Register We are an education recruitment managed service provider specialising in working with multi-academy trusts across England and Wales. Our vision is to transform recruitment in the changing world of education & our mission is to become the sector's most trustededucation...

  • Maintenance Manager

    3 weeks ago

    Sheffield, United Kingdom Energy Jobline CVL Full time

    Position : Maintenance Coordinator Sector : Engineering Services Our client is seeking a Maintenance Coordinator at their office based in Sheffield. In this role you will assist in managing and coordinating the compliance and maintenance requirements. As the successful Maintenance Coordinator your duties will include: First point of contact for clients,...

  • Assistant Office Co-ordinator

    2 weeks ago

    Sheffield, United Kingdom Hays Full time

    68 per hour PAYE premium (£12.05 per hour Umbrella. This is an on going, office based, temporary placement, ASAP start. various projects dealing with issues/complaints from residents working in the repairs office. Answering the phone, begin immediately with 37 hours a week. Monday to Friday between 8:30am-4:30pm. working in a social...

  • Liaison Officer Liaison Officer

    2 weeks ago

    Sheffield, United Kingdom Fawkes & Reece (North) Full time

    Resident Liaison Officer required to join the team of a large Plumbing sub-contractor who are working on live sites in Halifax, Sheffield and Leeds. To manage and provide consultation and support to residents prior to, during and after works to their homes, ensuring consistently high levels of customer satisfaction To develop effective working...

  • Compliance Advisor

    3 weeks ago

    Sheffield, United Kingdom Energy Jobline CVL Full time

    As part of your day-to-day role, you are responsible for the following. * Works within the Compliance team to support Compliance activities to continually develop, improve, implement, and maintain the integrity of Linbrooke’s management system and business performance. * Support all external audits required to maintain Linbrooke accreditations under...

  • Maintenance Coordinator

    3 weeks ago

    Sheffield, United Kingdom Nicholas Associates Full time

    Position : Maintenance Coordinator Sector : Engineering Services Location : Sheffield Salary : £28,000 Our client is seeking a Maintenance Coordinator at their office based in Sheffield. In this role you will assist in managing and coordinating the compliance and maintenance requirements. The successful candidate must be adept in multitasking and be...

  • Maintenance Coordinator

    4 weeks ago

    Sheffield, United Kingdom Nicholas Associates Full time

    Position : Maintenance Coordinator Sector : Engineering Services Location : Sheffield Salary : £28,000 Our client is seeking a Maintenance Coordinator at their office based in Sheffield. In this role you will assist in managing and coordinating the compliance and maintenance requirements. The successful candidate must be adept in multitasking and be...

  • Deputy Head of Reporting and Compliance

    3 weeks ago

    Sheffield, United Kingdom Sewell Wallis Ltd Full time

    An amazing, flexible opportunity for a 16 month FTC to cover a period of maternity with a handover! This role for a Deputy Head of Reporting and Compliance is within a brilliant organisation with benefits that are unbeatable! A culture focused towards work life balance, flexibility and really people first! Your duties as the Deputy Head of Reporting and...

  • Deputy Head Of Reporting And Compliance

    2 weeks ago

    Sheffield, United Kingdom Sewell Wallis Ltd Full time

    An amazing, flexible opportunity for a 16 month FTC to cover a period of maternity with a handover! This role for a Deputy Head of Reporting and Compliance is within a brilliant organisation with benefits that are unbeatable! A culture focused towards work life balance, flexibility and really people first! Your duties as the Deputy Head of Reporting and...