Compliance Officer

4 weeks ago

Brentwood, United Kingdom Nicholas Howard Full time

**Nicholas Howard Limited** is delighted to be recruiting for a new and exciting role as a Compliance Officer.

Based in Brentwood, the primary purpose of this role is to provide compliance advice, monitoring and support to the Compliance Manager.

This role includes some or all of the following tasks:

- Conducting Call Observations and carrying out Quality Assurance and Compliance Monitoring reviews to assess and report on the effectiveness of, and adherence to, regulatory requirements, internal policies, procedures, systems and controls.
- Supporting the Compliance Manager with day-to-day compliance activities, assisting with the Compliance function’s service delivery plans and agenda.
- Supporting the Compliance function in the management and handling of complaints, including complaints referred to the Financial Ombudsman Service (FOS); and
- Supporting the Money Laundering Reporting Officer with financial crime-related tasks, reviews and reports.

**Key Accountabilities**:
**Personal Conduct**:

- Adhering to, and promoting adherence to, Swift’s values and the FCA’s Conduct Rules by role-modelling and upholding these standards in all activity undertaken.
- Acting with integrity, due skill, care and diligence; being open and cooperative with Swift’s regulators; paying due regard to the interest of customers and treating them fairly; and observing proper standards of market conduct.

**Compliance Monitoring**:

- Assisting in the delivery of a robust and effective Compliance Monitoring regime which includes, amongst other things:

- Inputting into Compliance Monitoring Plans to cover all major operational; conduct and regulatory risks, policies, procedures and controls;
- Carrying out risk-based Call Observations, Quality Assurance and Compliance Monitoring reviews to assess and report on the effectiveness of, and adherence to, regulatory requirements, internal policies, procedures, systems and controls in accordance withannual and strategic plans;
- Issue management, ensuring follow up of review recommendations to confirm implementation as agreed;
- Dealing with all Compliance Monitoring matters in a sensitive and discrete manner consistent with reporting responsibilities;
- Promoting the function and benefits of the Compliance Monitoring Plan, assurance activities and its services;
- Developing Compliance Monitoring policies and procedures;
- Taking a proactive approach, liaising with assigned parts of the Swift Group to establish and maintain good working relationships with staff and management in order to gain a strong understanding of the nature of their business operations;
- Keeping abreast of regulatory and industry developments;
- Helping to develop the compliance and TCF culture across the Swift Group;
- Provide training and guidance as necessary; and
- Provide input to Compliance initiatives.

**Complaint Handling and FOS**:

- Assisting in the handling of:

- Complaints and FOS related correspondence/queries in accordance with company policy and regulatory guidelines/timescales;
- Maintaining appropriate records relating to all complaint activities; and Providing MI for the monthly complaints report for the Board and other relevant committees.

**Financial Crime**:

- Assisting the Money Laundering Reporting Officer/Deputy Money Laundering Reporting Officer manage Internal and External Suspicious Activity Reports, external investigations, such as Production Orders, electronic identification referrals, financial crimerelated queries and transaction monitoring protocols.

**General Compliance**:

- Support the Compliance Director and the Compliance Function generally, where directed.

**Feedback and Coaching**:

- Assisting in the delivery of feedback to Agents and members of the Servicing department which includes, amongst other things:

- Provision of daily Call Observation results to Agents and weekly results to the Head of Servicing and the Compliance Director;
- Prepare and issue the report highlighting Agents results for Servicing;
- Prepare monthly Servicing Department Data and Department Trend Awards report outlining trends and areas for improvement;
- Considering root causes and trends of any failures or identified issues from Call Observations, Quality Assurance and Compliance activity;
- Organising periodic call listening and calibration sessions for Compliance and Servicing attendance;
- Organising and attending by rota the SMT Call Listening sessions.

**Essential Skills & Attributes**:

- General knowledge and understanding of relevant legislation, regulations, policies and codes governing the mortgage and secured lending industry;
- Excellent communication skills, both written and verbal;
- Excellent interpersonal and analytical skills;
- Strong administrative skills and organisational skills;
- Detail orientated with the ability to work under pressure and with tight deadlines;
- Highest levels of honesty and integrity;
- Ability to maintain complete confidentiality of the material and employee performance that they will be exposed to;
- Tact and diplomacy;
- Customer focused - identify effective solutions for borrower, internal clients and external clients;
- Ability to work independently and in a team environment;
- Good presentation skills; and
- A flexible and "common sense" approach with an ability to build and successfully maintain relationships across the organisation, together with a "can do" attitude to overcoming potential challenges;
The above duties are not an exhaustive list. The role holder may be required to undertake additional duties as the needs of the Compliance function and the wider business dictates.

**Education & Experience**:

- Relevant mortgage and/or financial services related qualification would be an advantage;
- The post holder will ideally have at least 2 years’ experience gained within the mortgage/financial services industry;
- The post holder will be trained to the required standard to enable them to perform their role.

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