Compliance Associate

5 days ago

Leeds, United Kingdom Age Partnership Full time

**Reports to**:
Compliance Manager (Operations)
**Location**
Leeds
**Package**
£20k28k+ Generous Benefits Package
**Hours of work**
37.5 Per week (Hours of work will be flexible and dictated by the needs of the business, therefore it is expected that the successful applicant will work those hours necessary to successfully discharge the duties of the role).
**About us**
Established in 2004, Age Partnership has held true to its pledge to improve the markets in which we operate for the benefit of customers. We do this by delivering worldclass customer experiences, continually innovating and embracing digital technology to make dealing with the company both efficient and engaging.At Age Partnership we accept nothing other than being the best at what we do, and this objective is reinforced by an environment in which colleagues are encourage to engage, to learn and to flourish. Significant inhouse training and development facilities and empowerment of colleagues are just a couple of components that have helped this culture to thrive.
**The Role**
**Overview**
To support the business in ensuring it complies with its obligations in relation to the regulatory bodies such as the FCA and ICO. Primary responsibilities are to:

- support the team with the identification, investigation and response to complaints
- carry out elements of the compliance monitoring plan across all areas of the business
- assist the business responding to queries submitted into the central Compliance inbox
- assist with the development of documented processes and procedures across the business, encompassing the identification of risk and controls and monitoring adherence
- reporting any issues and/or risks to the Compliance Manager (Operations) as agreed
- assist with conducting investigations looking to safeguard potential vulnerable customers

**Key Outputs**
Work with Compliance team colleagues to:

- Identify and acknowledge new complaints, liaising with customers and colleagues as necessary
- Work with the business to take opportunities for swift, informal resolution of complaint matters where appropriate
- Acknowledge and investigate complaint matters keeping all stakeholders appropriately updated
- Respond to and resolve complaint matters within appropriate timescales, including further correspondence following final response letters
- Conduct activities in line with annual compliance monitoring plan requirements, liaising with the Compliance Manager (Operations) to identify any training requirements and/or risks, providing feedback to individuals as appropriate
- Conduct sales process investigations to ensure adherence to agreed business standards in safeguarding potentially vulnerable customers
- Acknowledge and respond to day to day queries submitted by the business to the central Compliance inbox

TREATING CUSTOMERS FAIRLY
Responsible for:

- Ensuring that the TCF outcomes are embedded within all activities as a matter of course and that positive customer outcomes are delivered.

GENERAL
- Work with the combined teams of Compliance, Quality Assurance & Training and Competence
- Supporting the Compliance Manager (Operations) as and when required and, in conjunction with other team members, providing cover when on annual leave.
- Any additional ad hoc duties that may be required from time to time

**The Person**
**Overview**
Approachable, organised individual with a proven ability to work in line with detailed process and procedures in a regulated environment. A real selfstarter who can seek work proactively and carry out activities when given the relevant guidance and support. An excellent communicator with the ability to interact at all levels. Capable of handling high volumes of work across a range of products and activities whilst retaining a high level of detail.
**Skills & Knowledge**
**Essential**
- Ability to use all Microsoft Office programmes to a competent level
- Experience working in a regulated business
- Experience in an internal/external customer facing environment

**Desirable**
- Experience of responding to customer complaints
- Experience of working in Mortgages or Equity Release
- Experience of working in a compliance role involving standard setting, process and procedure development, monitoring and reporting across the entire business including administration

**Qualifications**
**General education**
- Good numerical and literacy skills

**Financial services qualifications**
Hold, or be willing to study towards:

- Certificate in Mortgage Advice and Practice (CeMAP)
- Certificate in Regulated Equity Release (CeRER) (Home Reversion topup unit or ER1)

This job description is not exhaustive and serves only as a broad outline of the duties required. This job description may be amended as necessary.

**Salary**: £20,000.00-£28,000.00 per year

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