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Senior Compliance Risk Manager

2 months ago

Kent, United Kingdom Cabot Financial Full time £48,500
Job Summary

We are seeking a highly skilled and experienced Senior Compliance Risk Manager to join our team at Cabot Financial. As a key member of our compliance team, you will be responsible for providing assurance over regulatory risk management to the business through effective monitoring and analysis of operational functions.

Key Responsibilities
  • Provide assurance over regulatory risk management to the business through delivery of 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.
  • Support an environment of continual improvement, working closely with peers and colleagues from across the business.
  • Contribute to the planning stage of monitoring activities and the design of the annual compliance monitoring plan.
  • Conduct comprehensive assessments of real customer journeys against relevant regulation, legislation and industry standards, including whether a good customer outcome has been delivered.
  • Support and conduct complex thematic reviews as part of the programmes.
  • Manage the production, delivery and completion of the compliance monitoring programmes within timescales and scope.
  • Draft reports to Senior Management relevant to reviews.
  • Responsible for the delivery of fully maintained work programmes, customer journeys and testing documents which support the final report, plus evidence of action closure.
  • Ensure delivery of all reports within the timescales detailed within the Compliance Monitoring Plan schedule.
  • Maintain full and accurate electronic compliance monitoring folders which include final signed off ToRs, draft and final reports and evidence of distribution.
  • Monitor the implementation of actions agreed in response to compliance recommendations, ensuring appropriate records are kept.
  • Review regular monitoring output and report on any issues to relevant stakeholders.
  • Responsible for the completion of monthly recommendation/action reporting.
  • Provide Management Information and overviews to the wider business detailing the output of work undertaken and trends identified.
  • Provide input into the creation and maintenance of the annual compliance monitoring plan.
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.
  • People management and leadership skills.
  • An interest in compliance monitoring.
  • A highly organised individual with experience of working to deadlines in a changing environment.
  • Excellent analytical and problem-solving skills.
  • Ability to communicate effectively at all levels within the business, both verbally and in writing.
  • Outstanding attention to detail and accuracy.
  • Ability to identify risk and recommend actions to mitigate risks identified.
  • Ability to work independently with a flexible and adaptable approach.
  • Customer focused with ability to develop and maintain effective business relationships.
  • A proven track record of building and developing effective working relationships.
  • Strong written and verbal communication skills with the ability to influence at all levels.
  • Previous experience in a conduct risk, compliance monitoring and/or call quality role.
  • Sound IT skills – specifically Microsoft office, excel and PowerPoint.