Senior Compliance Risk Manager

5 days ago

Kent, United Kingdom Cabot Financial Full time
Job Description

Job Title: Senior Compliance Risk Manager

Company: Cabot Financial

Location: Flexible

Job Type: Permanent

Salary: Up to £48,500 per annum

Benefits: Competitive salary, bonus scheme, private health insurance, and more

Job Summary

We are seeking a highly skilled Senior Compliance Risk Manager to join our compliance team at Cabot Financial. As a key member of our team, you will be responsible for providing assurance over regulatory risk management and delivering 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 by 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.
  • Supporting and conducting complex thematic reviews as part of the programmes.
  • Managing 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 organized 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.

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