Compliance Lead

2 weeks ago

Glasgow, United Kingdom Project People Full time

**The Role**:
The purpose of this role is to provide independent challenge, oversight and practical guidance to business areas with regards to the operation of its financial services products. You will sit in with financial services compliance team, and play a key role in the delivery of the monitoring plan and wider compliance programme. This will include both conducting formal compliance reviews in line with the monitoring plan and involve working with the business to identify financial services-related compliance and conduct risks faced, and provide guidance into the design and implementation of controls.

**JOB DESCRIPTION**:
Your role will involve:

- Provide expert and practical regulatory guidance, support and independent challenge the first line of defence in relation to its financial services products' systems, policies, processes and controls. This will include acting as compliance SME on special projects and representing compliance within relevant governance fora;
- Design and lead formal compliance reviews and carry out testing in accordance with the monitoring plan and compliance programme. This will include evaluating control effectiveness, documenting clear findings and making pragmatic recommendations;
- Support with the identification of regulatory and conduct risks, and provide guidance to the first line of defence on appropriate controls to manage those risks within appetite and regulatory requirements;
- Analyse and interpret conduct risk and compliance MI to enable a data-led and risk-based approach to your work, sharing insights and perspectives on how to improve and adapt the compliance programme and monitoring plan, as necessary;
- Provide support to business areas on how to appropriately resolve any identified compliance issues, including root cause analysis and customer remediation;
- Support with the development and review of key compliance policies, processes and training materials;
- Produce timely and accurate compliance reporting for internal and external stakeholders;
- Drive education and awareness of compliance, conduct and regulatory risk management good practices across the organisation. Delivering training sessions where required;
- Work closely with colleagues in legal and compliance to ensure a holistic approach to guidance, support and challenge; and
- Maintain a deep understanding of UK financial services regulation, consumer credit practices and upcoming regulatory changes impacting our business.

**QUALIFICATIONS**:
**Skills Required**:

- Experienced financial services compliance professional specialising in consumer credit. Strong knowledge of CONC, SYSC and DISP is essential;
- You'll have and maintain a deep understanding of UK financial services regulation, be skilled at explaining requirements in straightforward/ practical terms and provide pragmatic and proportionate guidance on appropriate systems and controls to mitigate any regulatory/ conduct risks arising;
- A strong understanding of regulatory and conduct risk management practices in financial services, and what it means to deliver good customer outcomes across a consumer credit product lifecycle;
- Experienced in leading on the design and delivery of formal compliance reviews. You'll have excellent planning, report writing and stakeholder management skills;
- Experienced in evaluating policies, procedures, processes and internal controls, and their effectiveness;
- Experienced in drafting compliance owned policies;
- Experience in overseeing compliance issue management and remediation activities, and understanding appropriate root cause analysis practices;

Project People is acting as an Employment Business in relation to this vacancy.

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