Compliance Officer

3 weeks ago

Coventry, Coventry, United Kingdom Stellantis Full time
Job Title: Compliance Officer

Calex, a specialist training and consultancy organisation, is seeking a Compliance Officer to join our team. As a Compliance Officer, you will play a crucial role in ensuring that our business complies with the rules and requirements of the Financial Conduct Authority (FCA).

Key Responsibilities:
  • Assess risk and compliance challenges within 1st line operations and support 2nd line assurance measures to manage any identified gaps and risks.
  • Cultivate positive working relationships across teams and locations.
  • Support business areas to be responsible for assessing and identifying potential risks (both regulatory and non-regulatory), developing risk mitigation action plans and appropriate documentation of risk management policies and risk profiling.
  • Support the development and annual reviews of key compliance policies and procedures.
  • Support in the delivery of training material to ensure ongoing competence of operational teams.
  • Ongoing monitoring of training and competence plans, and support any remedial actions relevant to bridge any identified gaps.
  • Raise risk and compliance awareness through delivery of workshops, training, and coaching with the operational teams.
  • In conjunction with the HR function, supporting our obligations under the SMCR regime are met in a timely manner.
  • Participation in operational meeting and compliance reviews to ensure that the content and frequency of the meetings are sufficient for monitoring of the activities, and any associated risks.
  • Support in the management of suppliers & third-parties; due diligence processes; supporting reviews & approval processes, tracking and implementing process changes based on regulatory developments and reviews.
  • Driving a culture of compliance across the group with a focus on the voice of a consumer.
  • Manage regulatory risk by working with business areas to cultivate and maintain key relationships to enable the provision of proportionate and appropriate support on relevant regulations and business policies whilst supporting commercial strategy.
  • Review and test the first line of defence systems and controls in line with the regulatory requirements.
  • Support ongoing review and improvement of Compliance policies, processes and procedures to ensure these are compliant with regulatory obligations and best practice.
  • Support the development and dissemination of relevant data across the business, collaborating with colleagues to co-ordinate requests and responses for MI and reporting.
  • Support to the Head of Compliance for compliance with Data Protection requirements, including GDPR, and security of other data relevant to activities for which responsible.
Requirements:
  • Working knowledge and practical experience in applying relevant FCA rules and guidance in a practical context in a regulated environment. Delivery of this in an Automotive industry environment is desirable.
  • Awareness and understanding of FCA sourcebooks – PRIN, CONC, DISP, SYSC, PROD and legislative frameworks such as the AML, Consumer Credit, Data Protection Act including GDPR is essential for the role.
  • Awareness and understanding of Consumer Duty and delivery of good customer outcomes along with a sound understanding of the FCA's expectations in relation to the fair treatment of customers, and vulnerability, is essential.
  • Experience of engagement with business stakeholders at all levels and you should have excellent accuracy and exceptional attention to detail within a time-sensitive environment.
  • Experience of identification, management, monitoring and reporting of risks either in project or business as usual environment.
  • Able to provide written and verbal support to operational business areas on the implications of regulatory requirements, drafting policies, guidance, operating processes and procedures.
  • Able to work collaboratively in projects and other multi-departmental activities, providing support to jointly achieve effective results.
  • Ability to carry out multiple tasks simultaneously, prioritise effectively and use analytical skills to assist in drawing conclusions from data.
  • Good communication and negotiation skills, including influencing, educating and reporting to Senior Management.
  • The ability to prioritise effectively with enough flexibility to respond to changing needs and requirements is essential.
  • You will need to self-motivated with the ability to energise and develop others.
  • Have enthusiasm for compliance and the ability to communicate regulatory compliance requirements in a business-friendly manner.
  • Full driving license is a requirement due to business travel.
  • Ability to work both independently and collaboratively.
  • Experience in a Customer Service environment (Desirable).
  • Experience in Motor/Motor Finance industry (Desirable).
Salary and Benefits:

£36,000 – £42,000 dependent on experience, 26 Days Annual Leave, Calex Employee Benefits Packages (Inc Private GP and Healthcare Services, High Street Discounts, Discounted Gym Memberships and on Demand 24 Hour Wellbeing Service (Counselling and Advice).

This is a hybrid position, with the expectation of a minimum of 1 day a week in the office. There will also be some regular business travel expected. Working Hours Monday to Friday.

General information

Calex will undertake the relevant/standard employment checks with any successful candidate. This includes contacting all nominated references, as well as checking candidate ID, driving licence (if appropriate) and right to work in the UK. Some roles may also be subject to further pre-employment checks (confirmation will be provided through the recruitment process). The nature of this role may necessitate that we undertake a DBS check.

The successful candidate will be employed by Calex UK Calex are a specialist learning and development provider and provide training staff and expertise including Trainers, Developers, Digital Learning Experts, and Administrators for the automotive industry.

The successful candidate will be required to provide proof of the right to work in the UK

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