Regulatory Affairs Senior Associate

4 weeks ago

Tonbridge, Kent, United Kingdom Cabot Financial Full time
Compliance Monitoring and Risk Management Role

Are you a seasoned Compliance professional looking for a new challenge? Do you have a strong understanding of the Financial Conduct Authority (FCA) and the regulatory framework governing the Debt Collection industry? If so, we may have the perfect opportunity for you.

Key Responsibilities
  • Provide assurance over regulatory risk management to the business through effective monitoring and analysis of operational functions.
  • Support the 1st line's understanding of compliance responsibilities, including making recommendations for changes.
  • Deliver monitoring of regulated activities against relevant rules and regulations, as part of the annual compliance monitoring plan.
  • Contribute to the planning stage of monitoring activities and the design of the annual compliance monitoring plan.
  • Manage the production, delivery, and completion of compliance monitoring programmes within timescales and scope.
  • Creation of robust work programmes and testing documents.
  • Identification of regulatory risks, control gaps, and weaknesses.
  • Responsible for the delivery of fully maintained work programmes, customer journeys, and testing documents which support the final report, plus evidence of action closure.
Requirements
  • A good understanding of Financial Conduct Authority (FCA) as a regulator.
  • Subject Matter Expert in the Debt Collection industry and the regulatory framework which governs it.
  • An interest in compliance monitoring.
  • Ability to communicate effectively at all levels within the business, both verbally and in writing.
  • Ability to identify risk and recommend actions to mitigate risks identified.
  • Previous experience in a conduct risk, compliance monitoring, and/or call quality role.
About Us

Cabot Financial is a rapidly expanding company that offers excellent career progression opportunities. We value diversity and inclusion and strive to create a culture that includes everyone. Our policies ensure that every candidate and employee is treated fairly and with equal opportunities.

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