Compliance Conduct Officer

2 weeks ago

London, Greater London, United Kingdom YouLend Full time
About YouLend

YouLend is a leading global embedded financing platform, partnering with top e-commerce sites, tech companies, and payment services providers to offer flexible financing products to their merchant base. Our AI-driven credit risk assessment solutions enable merchants and SMEs to receive fast, flexible, and affordable funding. We operate in 9+ geographies across the UK, EU, and the US.

We believe that the future of financial services will be delivered by customer-oriented tech companies that embed financing in their customer journeys. Our mission is to build the solutions that will power that future.

The Role

The Compliance Conduct Officer will play a crucial role in assisting with the implementation of an effective Compliance Monitoring and Testing Programme. This will involve providing oversight of policies, frameworks, tools, techniques, and support to enable risk and compliance to be managed in the first line. The successful candidate will also be responsible for conduct monitoring to assess effectiveness and help ensure consistency in regulatory risk management.

Key Responsibilities
  • Assist and support the Global Head of Compliance with the overall design and delivery of a proportionate, risk-based Monitoring and Testing programme.
  • Assist with the embedding of a customer outcomes mind-set, ensuring monitoring is focused on the identification of and enhancements to customer outcomes for all You Lend customers and partners.
  • Perform thematic testing reviews and escalate findings to key stakeholders, working with team leaders to address and mitigate any concerns identified.
  • Perform ongoing monitoring of key processes, ensuring key regulatory risks are identified and regularly assessed.
  • Perform 'check the checker' testing on the 1st line control framework and provide challenge and feedback to help strengthen/enhance, as appropriate.
  • Ensure actions are tracked to closure (including post closure testing/monitoring where appropriate).
  • Track, monitor, and report on progress of the annual monitoring programme, updating it on a continuous basis to adapt to the changing environment and risks within the business.
  • Provide Compliance oversight with our consumer duty requirements, supporting areas of the business with their assessments on outsourcing, product governance, complaints, conflicts of interest, etc.
  • Assist with the identification and assessment of current and future regulatory risks across key areas in compliance monitoring and flag/escalate issues in a timely manner. Where appropriate, make recommendations to mitigate those risks.
  • Make recommendations to improve policies, processes, and rules to improve the effectiveness of the controls, identify non-compliance with regulations or policies, identifying gaps in systems and processes.
Requirements
  • A minimum of 5 years experience in a compliance role within the financial services industry, payment institution, or a similar regulated entity.
  • Experience in the Oversight Supervision of Partners with strong foundational knowledge of key elements including Customer Due Diligence (KYC/KYB/ Onboarding), Transaction Monitoring, mitigating risks.
  • Experience within a Compliance function and/or controls environment, ideally within a corporate lending business.
  • Knowledge of reviewing, interpretation of, and implementation of FCA regulatory requirements (FCA Handbook), Payment Services Regulation, JMLSG, etc.
  • Proven experience of initiating and implementing process development.
  • Delivery of high-quality reviews and assessments.
  • Factual analysis and report writing skills.
Benefits

YouLend offers a comprehensive benefits package, including:

  • Stock Options
  • Private Medical insurance via Vitality
  • EAP with Health Assured
  • Enhanced Maternity and Paternity Leave
  • Modern and sophisticated office space in Central London
  • Free Gym in office building in Holborn
  • Subsidised Lunch via Feedr
  • Deliveroo Allowance if working late in office
  • Monthly in-office Masseuse
  • Team and Company Socials
  • Football Power League / Squash Club

We champion diversity and embrace equal opportunity employment practices. Our hiring, transfer, and promotion decisions are exclusively based on qualifications, merit, and business requirements, free from any discrimination based on race, gender, age, disability, religion, nationality, or any other protected basis under applicable law.

Salary range: £55,000 + Annual bonus

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