Compliance Monitoring Officer

6 days ago

Manchester, United Kingdom Ascent Performance Group Ltd Full time

**A bit about Ascent**

At Ascent we place the customer at the heart of our operations, ensuring that within our customers most vulnerable times, we offer the support they deserve. You will play a huge part in the ongoing success of Ascent by providing technical and practical support when dealing with debt recovery and litigation actions on behalf of our clients.

Ascent Performance Group are a highly successful legal and financial services company; we work with other large financial service companies to support individuals during uncertain times. If you want to join an agile, successful and well established organisation, with a proven track record of colleague development and internal promotions, look no further than Ascent.

**We live by our five core values**:

- Be pioneering.
- Be approachable and caring.
- Be tenacious.
- Be efficient.
- Show integrity.

**Be Part of our team**

This role’s primary objective is to conduct Second Line of Defence (SLOD), activities, which are covered by several components of internal governance (compliance, risk management, quality, IT and other control departments). You will monitor and facilitate the implementation of effective risk management practices by operational management and assists the risk owners in reporting adequate risk related information up and down the organisation.

You will be responsible for ensuring that our business adheres to regulatory standards and in-house policies and procedures. You will also be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters.

Customer Experience is at the heart of everything that we do, therefore, you will ensure that our business is a customer experience champion, that we are listening to and acting responsively to customer feedback via complaints or any other media. There is strong emphasis on continuous improvement; specifically aimed at increasing customer satisfaction.

**What we offer you**:
A Competitive benefits package including:

- Hybrid working model (Following initial Training period).
- Company Pension Scheme.
- 22 days holiday, plus bank holidays (We have a buying holiday scheme that allows you to buy additional holidays during the annual holiday year).
- Health cash plan.
- Critical illness cover.
- Discounted legal services.
- Season ticket loans.
- Discounted online shopping.
- Discounted gym memberships.
- Cycle to work.

**What will your day look like**:
**Risk Management**:

- Support the business by liaising with staff on potential risk areas that require specific programmes for implementing mitigating procedures and monitoring.
- Ensure that known risks and issues are monitored and properly maintained.
- Assist with preparation of risk reports for the Ascent Risk Committee.
- Report to the Board on compliance monitoring activities (planning, devising terms of reference, testing, report writing, action planning and record-keeping).
- Working primarily through Chief Compliance Officer and Senior Managers, ensure that a review of Ascent’s risk framework is undertaken.
- Develop an assessment framework that brings together the assurance activities of Ascent where they relate to identified risks and issues and report this to the Board in the form of a functional audit.
- Using feedback from Clients and the Executive consider major risk areas in relation to Ascent’s operational and strategic management and assist in the implementation of preventative measures for accepted risk areas.

**Internal Audit**:

- Present an annual internal audit plan by reference to the risk management framework to the Ascent Risk Committee for their approval.
- Develop and maintain the internal audit procedures to ensure that best practice is taken account of and that the audits address specific areas of risk management.
- Liaising with the relevant department managers, undertake the approved internal audit plan in line with agreed procedures.
- Conduct thematic reviews of business activity to provide assurance to divisional areas that activity remains compliant and fit for purpose.
- Identify common features across audits and organisation-wide issues, proposing appropriate processing / systems improvements.
- Report to the Board ensuring that the members are aware of any key findings and the actions being taken to resolve any areas of concern.
- With the Chief Compliance Officer, Compliance Manager and Department managers agree action plan necessary to implement the audit recommendations.
- Monitor the implementation of any recommendations.

**Second Line of Defence**:

- Through a risk-based approach, provide assurance to the Ascent board of directors and senior management on how effectively the business assesses and manages its risks including assurance on the effectiveness of the first of defence.
- Conduct complaint & customer journey reviews assessing the impact of business activity from the customers perspective.
- Compile data on this as

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